Joseph G. Cote
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.
Joseph George Cote, who also goes by Joe Cote, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1971. Joseph had worked at 4 firms and has passed the PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1989 - May 20, 2002
COMO SECURITIES, INC.
October 16, 1972 - April 30, 1978
LOEB, RHOADES & CO. INC.
August 26, 1971 - April 20, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 1971 - October 18, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 8/7/1979
AMEX Put and Call ExamSeries 000
Date: 8/26/1971
General Securities Principal ExaminationSeries 1
Date: 6/28/1971
Registered Representative ExaminationCurrent Firm
COMO SECURITIES, INC.
CRD#: 23953 / SEC#: , 8-40800
Contact information
Documents
Red Flags
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