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Jaime Xavier Coronado

CRD# 4001702·Registered 2000 - 2009
Barred: Jaime Xavier Coronado was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Jaime Xavier Coronado, who also goes by J.c. Coronado, Javier Xavier Coronado, was a registered financial advisor. Jaime was a previously registered financial advisor and started their career in finance 2000 - 2009. Jaime had worked at 3 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

J.c. Coronado, Javier Xavier Coronado

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

NELSONREID, INC.·CRD# 45503
BD
Houston, TX
August 4, 2008 - April 2, 2009
WAMU INVESTMENTS, INC.·CRD# 599
RIA
Webster, TX
July 23, 2003 - August 7, 2008
WAMU INVESTMENTS, INC.·CRD# 599
BD
Webster, TX
July 23, 2003 - August 7, 2008
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Houston, TX
July 25, 2000 - July 16, 2003
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
June 29, 2000 - July 16, 2003

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Current Firm

NI
NELSONREID, INC.

AXIS SECURITIES & EXCHANGE, LLC | TIG CAPITAL SECURITIES CO. | NELSONREID, INC. | INTERFINANCIAL PARTNERS, INC. | AXIS SECURITIES AND EXCHANGE, LLC

CRD#: 45503 / SEC#: 8-51060
BD
Terminated by SEC on 11/29/2011

Contact Information

Established

Texas since 12/12/1997

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HAYDEN, DAVID ALANOWNER711302
CAPLIN, LANCE RONALDPRESIDENT & CEO1071737
STARKS, JOHN EDWARD JRFINOP, CCO2158373
VOLZKE, ROY DALEVICE PRESIDENT455571

Disclosures

Regulatory Event

3

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2000About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Jun 2000About the Series 7 exam

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CRS (Client Relationship Summary)

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

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