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MC

Matthew J. Coe

MCAP LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4162357
MC

Professional summary

Matthew James Gale Coe, who also goes by Matthew James Coe, Matthew Coe, is a registered financial professional currently at MCAP LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2000. Matthew has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew James Coe | Matthew Coe

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 Matthew James Gale Coe'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

February 8, 2023 - Present

MCAP LLC

Office #1: 100 Park Avenue Suite 2201, New York, NY 10017Office #2: 100 Park Avenue Suite 2201, New York, NY 10017
BD
CRD#: 139515
NEW YORK, NY
Past

May 3, 2016 - February 10, 2023

MONROE FINANCIAL PARTNERS, INC.

BD
CRD#: 2811
CHICAGO, IL
Past

November 2, 2009 - April 22, 2016

CITY SECURITIES CORPORATION

RIA
CRD#: 1459
INDIANAPOLIS, IN
Past

November 2, 2009 - April 22, 2016

CITY SECURITIES CORPORATION

BD
CRD#: 1459
INDIANAPOLIS, IN
Past

April 4, 2008 - November 6, 2009

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
INDIANAPOLIS, IN
Past

April 4, 2008 - November 6, 2009

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
INDIANAPOLIS, IN
Past

July 6, 2005 - April 2, 2008

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CARMEL, IN
Past

July 6, 2005 - April 2, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CARMEL, IN
Past

May 19, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
FISHERS, IN
Past

May 19, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

October 24, 2002 - July 21, 2003

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

October 9, 2000 - February 12, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
Arizona
(2/8/2023)
RR
California
(2/8/2023)
RR
Colorado
(2/8/2023)
RR
Florida
(2/8/2023)
RR
Illinois
(3/7/2023)
RR
New York
(2/8/2023)
RR
North Carolina
(2/8/2023)
RR
Pennsylvania
(2/8/2023)
RR
Texas
(2/8/2023)
RR
Virginia
(2/8/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/18/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/19/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/24/2020
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ML
MCAP LLC
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.

CRD#: 139515 / SEC#: , 8-67217

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

Main Address
100 Park Avenue Suite 2201, New York, NY 10017
Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017
Phone number
(212) 750-1056
Established
Delaware since 11/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MCAP TECHNOLOGIES LLCOWNER
DENNIS, WILLIAM CHOWNINGPRESIDENT4282868
MENN, DAVID ROBERTCHIEF EXECUTIVE OFFICER2283670
MULLEN, GREGORY VINCENTCHIEF FINANCIAL OFFICER & FINOP2048657
PATTI, LEONARD WILLIAMCHIEF COMPLIANCE OFFICER4276315

Disclosures

Regulatory Event2

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

MCAP LLC

CRD#: 139515New York, NY 10017

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