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Brian Joseph Cote

GPWA
Nashville, TN
·CRD# 4218494·26 years experience

Professional Summary

Brian Joseph Cote is a registered financial advisor currently at GPWA, LLC located in Nashville, Tennessee. Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

GPWA, LLC·CRD# 170171
RIA
BD
1. Nashville, TN2. Nashville, TN
May 4, 2017 - Present
GPWA, LLC·CRD# 170171
RIA
BD
1. 2400 Barton Ave., Nashville, TN 372122. Nashville, TN
November 18, 2014 - Present
GRAMERCY PARK WEALTH ADVISORS, LLC·CRD# 166875
RIA
Nashville, TN
January 5, 2015 - December 31, 2015
GRAMERCY PARK WEALTH ADVISORS, LLC·CRD# 166875
RIA
Nashville, TN
October 7, 2013 - February 11, 2014
TRIAD ADVISORS LLC·CRD# 25803
RIA
Nashville, TN
January 13, 2012 - December 18, 2014
TRIAD ADVISORS LLC·CRD# 25803
BD
Nashville, TN
January 13, 2012 - December 18, 2014
TRIAD ADVISORS LLC·CRD# 25803
BD
Shrewsbury, MA
May 12, 2010 - December 31, 2011
SMITH WB FINANCIAL GROUP·CRD# 107543
RIA
Nashville, TN
December 2, 2008 - December 31, 2012
SMITH WB FINANCIAL GROUP·CRD# 107543
RIA
Nashville, TN
August 14, 2008 - December 31, 2008
ALPHA EQUITY RESEARCH, INC.·CRD# 37654
BD
North Hampton, NH
January 20, 2006 - May 29, 2008
TAYLOR SECURITIES, INC.·CRD# 17575
RIA
Brentwood, TN
February 20, 2004 - January 4, 2006
TAYLOR SECURITIES, INC.·CRD# 17575
BD
Brentwood, TN
July 19, 2000 - January 4, 2006

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Current Firm

GL
GPWA, LLC

GPWA, LLC | GRAMERCY PARK WEALTH ADVISORS, LLC

CRD#: 170171 / SEC#: 8-69413
Georgia
Registered Investment Advisory firm - SEC (2/15/2023 Approved)
Michigan
Registered Investment Advisory firm - SEC (11/28/2018 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (10/2/2013 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

2400 Barton Ave., Nashville, TN 37212

Mailing Address

2400 Barton Ave., Nashville, TN 37212

Phone Number

(615) 424-2118

Established

Tennessee since 01/29/2013

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

7

FINRA licenses (12 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
COTE, BRIAN JOSEPHCEO/ CCO4218494
BEATON, DANIEL STEWARTFINOP4240769

Regulatory Assets Under Management

Total Number of Accounts

333

AUM (Assets Under Management)

$108,103,094

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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.

1. Mr.Cote owns a rental property located at 216 Sloan Rd., Nashville, TN in his personal name; non-investment related; position - owner of properties; the property was purchased in April of 1996; Mr. Cote devotes a total of 1 hour per month to the business; no hours are devoted during trading hours; his duties are collecting rent and arranging for maintenance, if required. 2. Mr.Cote owns a rental property located at 3511 Echo Hill Ave., Nashville, TN in his personal name; non-investment related; position - owner of properties; the property was purchased in October 2015; Mr. Cote devotes a total of 1 hour per month to the business; no hours are devoted during trading hours; his duties are collecting rent and arranging for maintenance, if required. 3. the name of the other business; Endurance Strategies whether the business is investment-related; No the address of the other business; 400 Downfield Way, Smyrna, GA. 30082 the nature of the other business; Seeking and negotiating Bank and Non-Bank Loans, Credit Facilities, Debt Financings, and Portfolio Loan Sales for Individual Clients, Business Owners, Non-Bank Lending and Financing Platforms, and Fund Sponsors. This activity would involve providing market intelligence and research on the capital markets, securing financing sources that will fit the client's financing needs, advising the clients on the structure in the context of execution of their financing needs, and negotiating terms and conditions. Upon successfully negotiating a loan, debt facility, credit facility, or financing solution for the client, I would be compensated with an appropriate Debt Placement Advisory Fee that will be paid directly to me upon a successful closing. your position; Loan Broker title, or relationship with the other business; Consultant the start date of your relationship; 6/6/25 the approximate number of hours/month you devote to the other business; 20-40 hours the number of hours you devote to the other business during securities trading hours; 20 hours briefly describe your duties relating to the other business; Organization Member performing duties tied to the Nature of Other Business noted above.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(6/4/2015)
RR
Georgia
(2/8/2023)
IAR
Georgia
(2/15/2023)
RR
Illinois
(2/8/2021)
RR
Indiana
(3/23/2016)
RR
Kentucky
(4/15/2020)
RR
Minnesota
(10/21/2020)
RR
Missouri
(9/10/2020)
RR
Nevada
(4/15/2020)
RR
North Carolina
(4/15/2020)
RR
Tennessee
(2/20/2015)
IAR
Tennessee
(5/4/2017)
RR
Virginia
(8/17/2016)

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.Note:This rule does not apply to broker-dealer activity.

Exams

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

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2008About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2000About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Aug 2000About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Cote's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Cote's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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