Francis J. Coffey
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.
Francis Joseph Coffey, who also goes by Fran Coffey, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1970. Francis had worked at 6 firms and has passed the Series 63 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
January 28, 1994 - December 31, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 6, 1994 - January 28, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 18, 1989 - January 11, 1994
SII INVESTMENTS, INC.
August 23, 1988 - November 22, 1988
FOCUS SECURITIES, INC.
October 14, 1975 - December 19, 1986
WOODBURY FINANCIAL SERVICES, INC.
March 26, 1973 - November 1, 1975
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 26, 1970 - May 2, 1973
CNA INVESTOR SERVICES, 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: 10/21/1970
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
