Winifred M. Coleman

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CRD#: 4010231

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.

Winifred Mary Coleman, who also goes by Winifred Mary Kiernan, was a registered financial professional .

Winifred is a previously registered financial professional and started their career in finance in 1999. Winifred had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Winifred Mary Kiernan

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

March 17, 2011 - July 1, 2024

CARNEGIE INVESTMENT COUNSEL

RIA

CRD#: 150488

ENGLEWOOD, FL

Past

September 26, 2007 - August 2, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SARASOTA, FL

Past

September 12, 2007 - August 2, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SARASOTA, FL

Past

August 15, 2006 - September 11, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ENGLEWOOD, FL

Past

August 14, 2006 - September 11, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ENGLEWOOD, FL

Past

January 21, 2000 - August 17, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

VENICE, FL

Past

September 23, 1999 - August 17, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

VENICE, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/7/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/21/1999

General Securities Representative Examination

Current Firm

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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Contact information

Main Address

30300 Chagrin Boulevard, Pepper Pike, OH 44124

Mailing Address

Phone number

(216) 367-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARNEGIE FORM ADV PART 2A 03-31-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	8,127
AUM (Assets Under Management)	$ 6,520,130,588

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
07/13/2023	Cover Page	Report
02/08/2023	Cover Page	Report

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.

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Firm Stability Insights

Winifred M. Coleman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CARNEGIE INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/1999

Series 63

Date: 10/4/1999

Series 31

Date: 10/7/1999

Series 7

Date: 9/21/1999

Current Firm

CARNEGIE INVESTMENT COUNSEL

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARNEGIE INVESTMENT COUNSEL

TRUST BUT VERIFY

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