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Roger B. Coe

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CRD#: 710456
RC

Professional summary

Roger Briggs Coe JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger Briggs Coe JR, who also goes by Roger B Coe, Roger Briggs Coe, was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1980. Roger had worked at 13 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roger B Coe | Roger Briggs Coe

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.

Blog Corner

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®
None

Experience

Past

October 20, 2010 - May 24, 2012

GATE US LLC

BD
CRD#: 10863
NEW YORK, NY
Past

December 7, 2007 - January 9, 2009

ZEALOUS CAPITAL MARKETS, LLC.

BD
CRD#: 136412
BOSTON, MA
Past

January 3, 2003 - December 12, 2007

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

August 23, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

April 18, 1998 - June 2, 2000

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

May 29, 1994 - April 17, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 14, 1990 - May 12, 1994

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

January 2, 1990 - December 3, 1990

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

October 19, 1988 - January 4, 1990

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

December 22, 1986 - October 14, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

May 29, 1986 - January 9, 1987

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

January 19, 1984 - June 5, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 8, 1982 - January 26, 1984

JII SECURITIES INC.

BD
CRD#: 406
Past

June 26, 1980 - July 19, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/14/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1980
General Securities Representative Examination

Current Firm

GU
GATE US LLC
GATE US INC | L.J. GOLDSTEIN & COMPANY, INCORPORATED | GATE US LLC

CRD#: 10863 / SEC#: , 8-27970

BD
Terminated by SEC on 03/27/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GATE TECHNOLOGIES, LLCDIRECT OWNER
BARRENECHEA, PATRICIA MARGOTFINOP1715189
HUGHES, DANIELLE FRANCESCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2189447

Disclosures

Regulatory Event1

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.

Company Information

GATE US LLC

CRD#: 10863

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