Stephen M. Cote

COTE FINANCIAL MANAGEMENT

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CRD#: 4365699

Professional summary

Stephen Mark Cote, CFP®, who also goes by Stephen Cote, is a registered financial advisor currently at COTE FINANCIAL MANAGEMENT .

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Cote

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) - RIA

Click below to view Stephen Mark Cote's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

November 4, 2013 - Present

COTE FINANCIAL MANAGEMENT

RIA

CRD#: 153088

Past

November 26, 2012 - December 31, 2012

COTE FINANCIAL MANAGEMENT

RIA

CRD#: 153088

WENHAM, MA

Past

March 29, 2010 - December 31, 2011

COTE FINANCIAL MANAGEMENT

RIA

CRD#: 153088

WENHAM, MA

Past

June 1, 2009 - December 10, 2009

MORGAN STANLEY

CRD#: 149777

DANVERS, MA

Past

December 14, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DANVERS, MA

Past

May 4, 2001 - January 4, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PEABODY, MA

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".

COTE FINANCIAL MANAGEMENT

COTE FINANCIAL MANAGEMENT | COTE FINANCIAL MANAGEMENT, LLC

CRD#: 153088 / SEC#: 801-130714

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (10/22/2024 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(11/4/2013)

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 66

Date: 5/25/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 11/26/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/3/2001

General Securities Representative Examination

Current Firm

COTE FINANCIAL MANAGEMENT

COTE FINANCIAL MANAGEMENT | COTE FINANCIAL MANAGEMENT, LLC

CRD#: 153088 / SEC#: 801-130714

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (10/22/2024 Terminated)

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Contact information

Main Address

Wenham, MA

Mailing Address

Phone number

(978) 767-9501

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFM-ADV 2024 (4/9/2025)

Regulatory assets under management

Total Number of Accounts	369
AUM (Assets Under Management)	$ 131,566,555

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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Advisor Monitoring

Firm Stability Insights

Stephen M. Cote

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Mark Cote's CRS (Customer Relationship Summary).

Certified licenses

Experience

COTE FINANCIAL MANAGEMENT

COTE FINANCIAL MANAGEMENT

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

COTE FINANCIAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2001

Series 31

Date: 11/26/2003

Series 7

Date: 5/3/2001

Current Firm

COTE FINANCIAL MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COTE FINANCIAL MANAGEMENT

TRUST BUT VERIFY

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