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RC

Richard J. Coakley

LYNCH & ASSOCIATES
St. Petersburg, FL 33701
Some features on this profile are disabled
CRD#: 3213448
RC

Professional summary

Richard Joseph Coakley, who also goes by Rick Coakley, is a registered financial professional currently at LYNCH & ASSOCIATES located in St. Petersburg, Florida.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Coakley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Coakley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 8, 2006 - Present

LYNCH & ASSOCIATES

Office #1: 200 Central Ave. Suite 2210, St. Petersburg, FL 33701
RIA
BD
CRD#: 140762
St. Petersburg, FL
Past

July 17, 2000 - December 7, 2006

TBG FINANCIAL

BD
CRD#: 26984
LOS ANGELES, CA
Past

May 18, 1999 - June 5, 2000

WESTPORT FINANCIAL SERVICES, L.L.C.

BD
CRD#: 38449
JACKSONVILLE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/8/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/17/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/6/2017
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

L&
LYNCH & ASSOCIATES
LYNCH & ASSOCIATES | WJ LYNCH INVESTOR SERVICES, LLC | WJ LYNCH INVESTOR SERVICES LLC

CRD#: 140762 / SEC#: , 8-67335

Massachusetts
Registered Investment Advisory firm - SEC (10/27/2006 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
535 Boylston St. Floor T2, Boston, MA 02116
Mailing Address
535 Boylston St. Suite T2, Boston, MA 02116
Phone number
(617) 247-7000
Established
Delaware since 02/06/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
12

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WJL ASSOCIATES, INC.OWNER
LONGINO, MICHAEL LUTHERPRESIDENT4327203
LYNCH, WILLIAM JOSEPH IIICEO1060714
STULB, CHRISTOPHER CHARLESCCO/CFO/FINOP1676882

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.

Company Information

LYNCH & ASSOCIATES

CRD#: 140762St. Petersburg, FL 33701

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