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JC

Joseph C. Coleman

Some features on this profile are disabled
CRD#: 837893
JC

Professional summary

Joseph Chester Coleman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Joseph had worked at 12 firms, which includes BEACONSFIELD FINANCIAL SERVICES INC., MIDSOUTH CAPITAL INC., LPL ENTERPRISE LLC, FIRST SECURITY INVESTMENTS INC., BPU INVESTMENT MANAGEMENT INC., PRUDENTIAL EQUITY GROUP LLC, JANNEY MONTGOMERY SCOTT LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, UBS FINANCIAL SERVICES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..

top-8-questions

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.

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

July 23, 2002 - August 14, 2002

BEACONSFIELD FINANCIAL SERVICES, INC.

BD
CRD#: 14634
CANONSBURG, PA
Past

January 4, 2002 - April 10, 2002

MIDSOUTH CAPITAL, INC.

BD
CRD#: 35039
ATLANTA, GA
Past

February 29, 2000 - June 27, 2001

LPL ENTERPRISE, LLC

BD
CRD#: 8733
FORT MILL, SC
Past

January 29, 1998 - February 25, 2000

FIRST SECURITY INVESTMENTS, INC.

BD
CRD#: 24035
KINGSTON, PA
Past

February 16, 1995 - October 22, 1997

BPU INVESTMENT MANAGEMENT INC.

BD
CRD#: 17058
PITTSBURGH, PA
Past

July 7, 1993 - February 6, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 4, 1991 - July 6, 1993

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

January 15, 1990 - June 21, 1991

BPU INVESTMENT MANAGEMENT INC.

BD
CRD#: 17058
PITTSBURGH, PA
Past

April 11, 1988 - January 15, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 9, 1984 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

October 30, 1980 - November 19, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

May 23, 1977 - May 6, 1981

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
Past

May 23, 1977 - May 6, 1981

SIGNATOR INVESTORS, INC.

BD
CRD#: 468

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
IAR
Series 65
Date: 4/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/5/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1980
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 5/23/1977
Registered Representative Examination

Current Firm

BF
BEACONSFIELD FINANCIAL SERVICES, INC.
BEACONFIELD FINANCIAL SERVICES,INC. | BEACONSFIELD FINANCIAL SERVICES, INC.

CRD#: 14634 / SEC#: , 8-30993

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Southpointe Industrial Park 160 Technology Dr., Suite 101, Canonsburg, PA 15317
Mailing Address
Southpoint Industrial Park 160 Technology Dr., Suite 101, Canonsburg, PA 15317
Phone number
(724) 745-6800
Established
Pennsylvania since 10/25/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAINIER, BETTY HARRISCFO, DIRECTOR, VICE PRESIDENT1093968
RAINIER, RICHARD KING IIPRESIDENT, CHIEF COMPLIANCE OFFICER2603107
RAINIER, JUSTIN KINGPRINCIPAL6003707

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

BEACONSFIELD FINANCIAL SERVICES, INC.

CRD#: 14634

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