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AM

Alfred E. Monahan

Some features on this profile are disabled
CRD#: 337976
AM

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.

Alfred Elliott Monahan was a registered financial professional .

Alfred is a previously registered financial professional and started their career in finance in 1970. Alfred had worked at 5 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2009 - August 2, 2013

COINBASE CAPITAL MARKETS CORP

RIA
CRD#: 10722
SAN DIEGO, CA
Past

January 3, 2007 - January 8, 2007

COINBASE CAPITAL MARKETS CORP

RIA
CRD#: 10722
SAN DIEGO, CA
Past

June 14, 2005 - March 31, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

August 14, 2002 - December 31, 2006

COINBASE CAPITAL MARKETS CORP

RIA
CRD#: 10722
SAN DIEGO, CA
Past

August 6, 1990 - August 2, 2013

COINBASE CAPITAL MARKETS CORP

BD
CRD#: 10722
SAN DIEGO, CA
Past

April 2, 1985 - October 21, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

March 7, 1985 - August 8, 1990

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

August 12, 1977 - June 6, 1980

ROVINSKY & CO., INC.

BD
CRD#: 7248
Past

June 6, 1973 - March 20, 1985

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

August 5, 1970 - July 23, 1973

RALPH S. WILFORD COMPANY, INC. (THE)

BD
CRD#: 701

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 8/1/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 9/18/1976
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/2/1973
General Securities Principal Examination

Current Firm

CC
COINBASE CAPITAL MARKETS CORP
ADVANCED FINANCIAL PARTNERS | TAX SHELTERS SECURITIES CORPORATION | STEWART FINANCIAL SERVICES | RDD WEALTH MANAGEMENT | OPEN NETWORK FINANCIAL CONSULTING | KEYSTONE DIVERSIFIED SECURITIES | KEYSTONE CAPITAL CORPORATION | COINBASE CAPITAL MARKETS CORP | COINBASE CAPITAL MARKETS | AUOUR ADVISORY, LLC

CRD#: 10722 / SEC#: 801-78249, 8-28032

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Madison Ave Suite 230, San Diego, CA 92130
Mailing Address
One Madison Ave 24th Fl, New York, NY 10010
Phone number
(858) 348-4405
Established
California since 06/18/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

KEYSTONE CAPITAL CORPORATION ADV PART 2A (9/22/2015)

Direct owners and executive officers

NamePositionCRD#
COINBASE GLOBAL, INC.DIRECT OWNER
COMPA, GREGORYCHIEF COMPLIANCE OFFICER5324133
COOK, KATHERINE RENEEEXECUTIVE PRINCIPAL3076337
PLUMMER, CHRISTINE MARIEFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL OPERATIONS OFFICER2903362
TUSAR, GREGORY ALEXANDERCEO2426485

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

COINBASE CAPITAL MARKETS CORP

CRD#: 10722

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