Michael B. Coba
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.
Michael Braddock Coba, who also goes by Mike Coba, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 31 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
September 28, 2012 - December 28, 2015
FINANCIAL ENGINES ADVISOR CENTER, LLC
January 6, 2012 - September 28, 2012
THE MUTUAL FUND STORE
February 16, 2011 - January 6, 2012
SIGMA FINANCIAL CORPORATION
April 1, 2008 - December 31, 2010
CAPITAL FINANCIAL SERVICES, INC.
July 20, 2006 - March 31, 2008
SAWTOOTH SECURITIES, LLC
December 10, 2002 - August 7, 2006
WAMU INVESTMENTS, INC.
February 11, 1998 - December 6, 2002
MORGAN STANLEY DW INC.
June 20, 1997 - December 6, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL ENGINES ADVISOR CENTER, LLC
CRD#: 109238 / SEC#: 801-57511
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
