PL
Pascal D. Le Coz
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CRD#: 6277509
PL
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.
Pascal Denis Le Coz was a registered financial professional .
Pascal is a previously registered financial professional and started their career in finance in 2014. Pascal had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
February 21, 2014 - September 30, 2021
TRANSATLANTIQUE PRIVATE WEALTH LLC
RIA
CRD#: 169820
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TRANSATLANTIQUE PRIVATE WEALTH LLC
TRANSATLANTIQUE PRIVATE WEALTH LLC
CRD#: 169820 / SEC#: 801-107101
RIA
Registered Investment Advisory firm - (1/28/2016 Approved)California
Registered Investment Advisory firm - (2/27/2016 Terminated)Connecticut
Registered Investment Advisory firm - (3/31/2017 Terminated)District of Columbia
Registered Investment Advisory firm - (12/31/2015 Terminated)Florida
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/31/2015 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2015 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (1/28/2016 Terminated)New Jersey
Registered Investment Advisory firm - (12/31/2015 Terminated)New York
Registered Investment Advisory firm - (1/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/29/2016 Terminated)Texas
Registered Investment Advisory firm - (1/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Current Firm
TP
TRANSATLANTIQUE PRIVATE WEALTH LLC
TRANSATLANTIQUE PRIVATE WEALTH LLC
CRD#: 169820 / SEC#: 801-107101
RIA
Registered Investment Advisory firm - (1/28/2016 Approved)California
Registered Investment Advisory firm - (2/27/2016 Terminated)Connecticut
Registered Investment Advisory firm - (3/31/2017 Terminated)District of Columbia
Registered Investment Advisory firm - (12/31/2015 Terminated)Florida
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/31/2015 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2015 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (1/28/2016 Terminated)New Jersey
Registered Investment Advisory firm - (12/31/2015 Terminated)New York
Registered Investment Advisory firm - (1/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/29/2016 Terminated)Texas
Registered Investment Advisory firm - (1/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
520 Madison Avenue 37th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 644-4219
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 676,186,819 |
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.
