Stephane 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.
Stephane Cote was a registered financial professional .
Stephane is a previously registered financial professional and started their career in finance in 2011. Stephane had worked at 1 firm and has passed the Series 63, SIE, Series 57, Series 37, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - December 31, 2014
LOMBARD ODIER TRANSATLANTIC LIMITED
June 7, 2011 - March 29, 2019
LOMBARD ODIER TRANSATLANTIC LIMITED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 37
Date: 6/6/2011
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
LOMBARD ODIER TRANSATLANTIC LIMITED
CRD#: 6318 / SEC#: 801-112125, 8-15608
Contact information
Disclosures
| Regulatory Event | 1 |
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.
