Richard E. Coleman
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.
Richard Elliott Coleman was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 5 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1982 - August 12, 1997
CADARET, GRANT & CO., INC.
October 14, 1976 - March 6, 1984
INDEPENDENT SECURITIES CORPORATION
October 14, 1976 - May 24, 1988
EFC SPONSORS CORPORATION
August 1, 1973 - March 28, 1985
INDEPENDENT FINANCIAL PLANNERS CORPORATION
August 18, 1970 - April 1, 1973
ALEXANDER HAMILTON FINANCIAL 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
Series 1
Date: 2/1/1963
Registered Representative ExaminationSeries 00
Date: 6/16/1969
General Securities Principal ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
