AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LS

Luis M. Sierra

Some features on this profile are disabled
CRD#: 2672236
LS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Luis Manuel Sierra, who also goes by Luis M Sierra, Luis Mannuel Sierra, was a registered financial professional .

Luis is a previously registered financial professional and started their career in finance in 1997. Luis had worked at 9 firms and has passed the Series 63, Series 55, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luis M Sierra | Luis Mannuel Sierra

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 2, 2011 - January 2, 2013

COASTAL TRADE SECURITIES, LLC

BD
CRD#: 148246
SHORT HILLS, NJ
Past

June 9, 2011 - June 14, 2012

TRANSCEND CAPITAL

BD
CRD#: 104483
AUSTIN, TX
Past

March 14, 2011 - May 19, 2011

CHIMERA SECURITIES, LLC

BD
CRD#: 147566
NEW YORK, NY
Past

April 17, 2006 - January 27, 2009

DIMENSION BROKERAGE, LLC

BD
CRD#: 136257
NEW YORK, NY
Past

March 1, 2004 - July 14, 2004

TRILLIUM BROKERAGE SERVICES, LLC

BD
CRD#: 120064
NEW YORK, NY
Past

April 10, 2003 - October 21, 2003

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

March 3, 2003 - April 14, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
GENEVA, IL
Past

November 18, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

October 30, 2001 - November 26, 2002

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

August 20, 1997 - March 25, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 10/18/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 2/27/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1997
General Securities Representative Examination

Current Firm

CT
COASTAL TRADE SECURITIES, LLC
COASTAL 1 TRADING, LLC | COASTAL TRADE SECURITIES, LLC

CRD#: 148246 / SEC#: , 8-67999

BD
Cancelled by SEC on 11/20/2013
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/07/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CT HOLDINGS GROUP, LLCHOLDING COMPANY
APOLITO, CHRISTOPHER MMANAGING DIRECTOR2891689
MCGOVERN, MICHAEL ROBERTFINOP2522332
PRESTON, MARC AUIMANAGING DIRECTOR3042037

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COASTAL TRADE SECURITIES, LLC

CRD#: 148246

TRUST BUT VERIFY

Monitor Luis Sierra

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics