Branden 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.
Branden Cote was a registered financial professional .
Branden is a previously registered financial professional and started their career in finance in 2015. Branden had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2017 - November 12, 2019
LEGACY PLANNING ADVISORS, LLC
January 11, 2017 - January 9, 2018
THE STRATEGIC FINANCIAL ALLIANCE, INC.
December 15, 2015 - January 23, 2017
FIRST COMMAND ADVISORY SERVICES
August 14, 2015 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
May 21, 2015 - January 23, 2017
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
LEGACY PLANNING ADVISORS, LLC
CRD#: 121289 / SEC#: 801-112270
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
Current Firm
LEGACY PLANNING ADVISORS, LLC
CRD#: 121289 / SEC#: 801-112270
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 565 |
| AUM (Assets Under Management) | $ 192,000,000 |
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.
