Richard J. Coleman
Professional summary
Richard James Coleman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard James Coleman, who also goes by Rich Coleman, Richard J Coleman, Rick Coleman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 18 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2018 - March 14, 2019
SW FINANCIAL
June 5, 2017 - June 6, 2018
RICHARD JAMES & ASSOCIATES, INC.
February 24, 2016 - March 3, 2017
SW FINANCIAL
March 30, 2015 - February 25, 2016
LEGEND SECURITIES, INC.
March 12, 2015 - March 20, 2015
SIXTEEN SECURITIES, INC.
March 5, 2013 - March 13, 2015
BROOKVILLE CAPITAL PARTNERS
September 18, 2012 - January 7, 2013
JOHN THOMAS FINANCIAL
June 21, 2012 - October 18, 2012
WOODSTOCK FINANCIAL GROUP, INC.
August 13, 2009 - March 26, 2012
ROCKWELL GLOBAL CAPITAL LLC
September 18, 2008 - August 20, 2009
AURA FINANCIAL SERVICES, INC.
February 25, 2008 - October 6, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
February 21, 2006 - March 11, 2008
BROOKVILLE CAPITAL PARTNERS
August 25, 2004 - March 8, 2006
BENSON YORK GROUP, INC.
July 7, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
January 6, 2004 - July 8, 2004
GRANITE ASSOCIATES, INC
April 28, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
September 4, 2002 - May 28, 2003
GUNNALLEN FINANCIAL, INC
January 2, 2001 - October 3, 2002
HARRISON SECURITIES, INC.
March 18, 1998 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
September 10, 1996 - February 26, 1998
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
