Robert L. 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.
Robert Lee Coleman, who also goes by Robert Lee Coleman IV, Robert Lee Coleman, Robert L Coleman Iv, Robert Lee Coleman Iv, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2006. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
June 21, 2017 - February 22, 2019
LOCORR DISTRIBUTORS, LLC
July 29, 2014 - September 19, 2016
EQUITABLE ADVISORS, LLC
January 19, 2012 - September 19, 2016
EQUITABLE ADVISORS, LLC
August 11, 2011 - January 25, 2012
ECHOTRADE LLC
February 1, 2010 - February 3, 2010
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
October 5, 2006 - March 4, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
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
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
