Dan O. Coates
Professional summary
Dan O Coates is a registered financial professional currently at INSPEREX LLC located in Delray Beach, Florida.
Dan is registered as a RR (Registered Representative) and started their career in finance in 1996. Dan has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dan O Coates's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2016 - Present
INSPEREX LLC
Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483August 29, 2016 - November 28, 2018
INCAPITAL DISTRIBUTORS LLC
January 4, 2016 - August 22, 2016
CR CAPITAL DISTRIBUTORS, LLC
March 28, 2013 - December 28, 2015
REALTY CAPITAL SECURITIES, LLC
November 29, 2010 - March 19, 2013
WOODBURY FINANCIAL SERVICES, INC.
November 29, 2010 - March 19, 2013
WOODBURY FINANCIAL SERVICES, INC.
June 13, 2005 - November 18, 2010
LPL FINANCIAL LLC
June 13, 2005 - November 18, 2010
LPL FINANCIAL LLC
December 15, 2004 - June 21, 2005
GUNNALLEN FINANCIAL, INC
December 15, 2004 - June 21, 2005
GUNNALLEN FINANCIAL, INC
July 30, 2004 - November 9, 2004
LEGACY ADVISORY SERVICES, INC.
February 19, 2003 - November 9, 2004
LEGACY FINANCIAL SERVICES, INC.
December 17, 2002 - February 5, 2003
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - February 5, 2003
JOHN HANCOCK DISTRIBUTORS LLC
April 30, 1996 - January 1, 2002
MANULIFE WOOD LOGAN, 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
(11/14/2022)
(9/22/2016)
(8/29/2016)
(9/22/2016)
(8/30/2016)
(9/26/2016)
(7/2/2018)
(7/6/2018)
(9/14/2016)
(9/21/2016)
(9/19/2016)
(9/20/2016)
(8/29/2016)
Exams
FINRA
Current Firm
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
INSPEREX LLC
CRD#: 101420Delray Beach, FL 33483TRUST BUT VERIFY
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