Robert P. Coleman
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.
Robert Patrick Coleman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 6 firms and has passed the Series 63, Series 25, Series 55 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
January 3, 2011 - November 30, 2012
W.A. CAPITAL MARKETS
May 15, 2009 - December 31, 2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
June 13, 2008 - January 5, 2009
SANDERS MORRIS LLC
January 2, 2008 - March 31, 2008
CLEARVIEW TRADING ADVISORS, INC.
November 2, 2000 - February 26, 2007
CITIGROUP GLOBAL MARKETS INC.
September 23, 1998 - October 2, 2000
PERSHING 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
Series 25
Date: 9/20/2010
NYSE Trading Assistant ExaminationSeries 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
