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Alfred William Anderson Jr

CRD# 4784·Registered 1964 - 2001
Previously Registered: Being a previously registered professional could mean that Alfred 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.

Professional Summary

Alfred William Anderson JR, who also goes by Al Anderson, was a registered financial advisor. Alfred was a previously registered financial professional and started their career in finance 1964 - 2001. Alfred had worked at 7 firms and has passed the Series 63, Series 55, PC, Series 1, Series 12 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Al Anderson

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

66 years in the financial services industry

Current & Past Employments

COASTAL SECURITIES, INC.·CRD# 27834
BD
Houston, TX
June 23, 1993 - December 20, 2001
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
Dallas, TX
February 27, 1991 - June 18, 1993
NASH, WEISS & CO.·CRD# 6470
BD
Jersey City, NJ
January 24, 1985 - February 6, 1992
SCHNEIDER, BERNET & HICKMAN, INC.·CRD# 750
BD
March 31, 1981 - November 15, 1984
JEFFERIES LLC·CRD# 2347
BD
September 8, 1976 - July 1, 1989
PRINCIPAL FINANCIAL SECURITIES,INC.·CRD# 260
BD
February 8, 1973 - August 16, 1976
JEFFERIES LLC·CRD# 2347
BD
June 1, 1971 - February 26, 1973
A W ANDERSON & CO·CRD# 1000002
BD
June 10, 1964 - February 23, 1973

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Current Firm

CS
COASTAL SECURITIES, INC.

COASTAL SECURITIES CORPORATION | MASTER HOLDINGS, INC. | COASTAL SECURITIES, INC. | COASTAL SECURITIES LTD. | COASTAL SECURITIES L.P.

CRD#: 27834 / SEC#: 8-43227
BD
Terminated by SEC on 08/25/2017

Contact Information

Established

Delaware since 12/29/2006

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
COASTAL FINANCIAL HOLDINGS, INC.HOLDING COMPANY—
CIOCCIA, JOHN DIEGOOPERATIONS MANAGER1663440
FOLK, BRIAN MCGEEPRESIDENT/CFO5314485
KOMAR, DERYLE ANNBOARD MEMBER800219
MELTON, JOHN CHRISTOPHER SRCHIEF COMPLIANCE OFFICER, BOARD1437290
SMITH, THOMAS JAMESEXECUTIVE VICE PRESIDENT2112158

Disclosures

Regulatory Event

5

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

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

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1984About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2000

PC — AMEX Put and Call Exam

Passed Jul 1992

Series 1 — Registered Representative Examination

Passed Jun 1960

Series 12 — NYSE Branch Manager Examination

Passed Jul 1983

Series 24 — General Securities Principal Examination

Passed Oct 1982About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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