Coleen P. Mager
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.
Coleen P. Mager, who also goes by Colleen P. Mager, was a registered financial professional .
Coleen is a previously registered financial professional and started their career in finance in 1999. Coleen had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2021 - April 18, 2023
KOPENTECH CAPITAL MARKETS LLC
June 20, 2013 - August 13, 2019
NATIXIS SECURITIES AMERICAS LLC
July 8, 2011 - June 13, 2013
MIZUHO SECURITIES USA LLC
April 26, 2010 - June 17, 2011
FM PARTNERS HOLDINGS LLC
November 2, 1999 - May 5, 2008
GOLDMAN SACHS & CO. 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
Current Firm
KOPENTECH CAPITAL MARKETS LLC
CRD#: 299808 / SEC#: , 8-70331
Contact information
FINRA licenses (23 States and Territories)
Documents
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.
