Ethan J. Coombs
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.
Ethan James Coombs was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2011. Ethan had worked at 3 firms and has passed the SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2018 - February 3, 2020
SYNERGY CAPITAL MANAGEMENT, LLC
June 5, 2012 - April 27, 2018
BLUEFIN CAPITAL MANAGEMENT, LLC
March 14, 2011 - April 13, 2012
PEAK6 CAPITAL MANAGEMENT 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
Series 56
Date: 7/27/2011
Proprietary Trader Qualification ExaminationCurrent Firm
SYNERGY CAPITAL MANAGEMENT, LLC
CRD#: 143751 / SEC#: , 8-67601
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNERGY CAPITAL HOLDINGS, LLC | MEMBER | |
| KARP, JOHN JOSEPH | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 5626284 |
Disclosures
| Regulatory Event | 8 |
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.
