George G. Coates
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.
George Gowen Hood Coates, who also goes by George Gowen Coates, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1988. George had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 1996 - May 7, 1997
PNC BROKERAGE CORP
October 4, 1993 - February 13, 1996
MIDLANTIC SECURITIES CORP.
July 16, 1992 - September 22, 1993
FLEET BROKERAGE SECURITIES, INC.
June 8, 1990 - December 24, 1990
W.H. NEWBOLD'S SON & CO., INC.
August 25, 1989 - June 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 28, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC BROKERAGE CORP
CRD#: 34671 / SEC#: , 8-46315
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| CHURCH, GERARD BENEDICT | CFO & FINOP | 2367974 |
| GAMACHE, GARY LANCE | MUNI PRINCIPAL | 2123789 |
| GUYAUX, JOSEPH CLINTON | BOARD DIRECTOR | 2849157 |
| MOORE, THOMAS RICHARD | SECRETARY | 2588514 |
| MORTENSEN, MICHAEL SCOTT | PRESIDENT, SROP, CEO, BOARD DIRECTOR | 1905271 |
| RABENSTINE, JAMES JAY | CCO & CROP | 2025566 |
| WHITFORD, THOMAS KIRK | BOARD DIRECTOR | 2882678 |
Disclosures
| Arbitration | 7 |
Red Flags
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