Brian P. Coffey
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.
Brian Philip Coffey was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2015 - November 13, 2015
LPS CAPITAL LLC
July 18, 2011 - October 27, 2014
BGC FINANCIAL, L.P.
November 9, 2004 - July 20, 2011
RAFFERTY CAPITAL MARKETS, LLC
December 19, 2001 - November 15, 2004
TULLETT PREBON FINANCIAL SERVICES LLC
September 17, 1996 - June 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
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
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
