JC
John R. Coe
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CRD#: 867571
JC
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.
John Richard Coe, who also goes by Dick Coe, Richard Coe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dick Coe | Richard 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.
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
March 28, 2005 - August 15, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
WICHITA, KS
Past
May 8, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
WICHITA, KS
Past
May 8, 2003 - July 19, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WICHITA, KS
Past
December 16, 1997 - January 26, 2004
FDX ADVISORS, INC.
RIA
CRD#: 104601
WICHITA, KS
Past
December 2, 1997 - May 8, 2003
LONDON PACIFIC SECURITIES, INC.
BD
CRD#: 25089
SACRAMENTO, CA
Past
February 2, 1989 - June 15, 2020
COE FINANCIAL SERVICES, INC.
RIA
CRD#: 112027
WICHITA, KS
Past
October 7, 1982 - December 4, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
February 25, 1981 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
June 22, 1979 - November 3, 1983
FIRST SECURITIES COMPANY OF KANSAS, INCORPORATED
BD
CRD#: 313
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
1938 WEALTH ADVISORS | GATEWAY FINANCIAL ADVISORS | FOCUSED WEALTH ADVISORS LLC | FOCUSED WEALTH ADVISORS | FLIGHT FINANCIAL GROUP | FINANCIAL VISION, LLC | FINANCIAL VISION ADVISORY SERVICES, LLC | FINANCIAL INTEGRATORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | FIDUCIA LIFE GROUP | ELEFANT FINANCIAL | DUVAN BROCK FINANCIAL SERVICES, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | DRYSDALE WEALTH MANAGEMENT | DOMAN FINANCIAL | DIAMOND CAPITAL WEALTH | DEMPSEY LORD SMITH, LLC | CROWN WEALTH MANAGEMENT, INC. | CRNA FINANCIAL | CORNERSTONE ADVISORY GROUP, INC. | CORE NORTH CAPITAL PLANNING | COPIA INVESTMENTS | COOSA FINANCIAL PLANNING LLC | CAPITAL WEALTH ADVISORS LLC | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | BUSINESS AND FINANCIAL STRATEGIES LLC | BUSINESS AND FINANCIAL STRATEGIES | BUSINESS & FINANCIAL STRATEGIES, LLC | BUSINESS & FINANCIAL STRATEGIES | BURNS FINANCIAL SERVICES | BULLS FINANCIAL GROUP | BULL AND BEAR WEALTH MANAGEMENT PARTNERS, LLC | BULL AND BEAR WEALTH MANAGEMENT PARTNERS | BULL & BEAR WEALTH MANAGEMENT PARTNERS LLC | BUETOW AND SPITZLEY WEALTH MANAGEMENT | BRUCE W MOLDS | BROOKE & SCHAFER, LLC | BROBERG INVESTMENT GROUP, LLC | BRIDGEWAY FINANCIAL SERVICES | BRIDGES WEALTH MANAGEMENT | BREEN FINANCIAL MANAGEMENT, INC. | BRANDON LUEDTKE D.B.A. SMARTPRO FINANCIAL | BRACKEN FINANCIAL | BOYER AND SAPPENFIELD INVESTMENT ADVISOR | BOYER & SAPPENFIELD INVESTMENT ADVISORS | BOWBRIDGE ADVISORY GROUP | BORIA WEALTH MANAGEMENT, LTD | BORIA WEALTH MANAGEMENT | BLUSHGOLD WEALTH AND LEGACY LLC DBA BLUSHGOLD WEALTH AND LEGACY/DBA BLUSHGOLDWEALTH/DBA BLUSHGOLDWEALTH.COM | BLUEBIRD PRIVATE WEALTH LLC DBA BLUEBIRD PRIVATE WEALTH | BLUE DOT WEALTH MANAGEMENT | BLAKE MARTIN FINANCIAL | BINGHAM FINANCIAL | BFG ADVISORS | BEYOND WEALTH, LLC | BEYOND FINANCIAL PLANNING | BETTENDORF FINANCIAL GROUP | BETA INDUSTRIES INC. | BESSELMAN AND ASSOCIATES DBA BESSELMAN WEALTH PLANNERS | BERGERON FINANCIAL | BENZOR CAPITAL WEALTH | BENOIT FINANCIAL PLANNERS | BENKENDORFER INVESTMENT GROUP | BENCHMARK WEALTH ADVISORY LLC | BEDFORD WEALTH ADVISORS | BECKWITH FINANCIAL SERVICES | BEALE FINANCIAL GROUP | BEACON COVE FINANCIAL | BEACON CAPITAL MANAGEMENT ADVISORS | BCB INVESTMENT SERVICES | BAWAR ASSET MANAGEMENT LLC | BASS FINANCIAL STRATEGIES, INC. | BARTLETT WEALTH MANAGEMENT | BARKER INVESTMENT SERVICES | BARCOMB WEALTH MANAGEMENT | BARBARA MULL INVESTMENT SOLUTIONS | BAR -G FINANCIAL SERVICES | BANK IOWA INVESTMENT CENTER | BAKER WEALTH MANAGEMENT, INC | BAKER WEALTH MANAGEMENT | BAKER FINANCIAL GROUP | B RENNER LLC | AXIOM WEALTH PARTNERS, LLC | AXIOM WEALTH PARTNERS | AXIOM WEALTH ALLIANCE, LLC | AXIOM WEALTH ALLIANCE | ATTITUDE FINANCIAL ADVISORS | ATTAIN WEALTH PLANNING | ATLAS WEALTH ADVISERS | ATLAS ADVISORY GROUP | ATLANTIC CAPITAL PARTNERS | ATHLON WEALTH ADVISORS | ATHLON ADVISORS | ASSOCIATED PLANNING SERVICES, INC. | ASPIRE INVESTMENT MANAGEMENT | ASCEND WEALTH CONSULTING | ARROWSTAR FINANCIAL | ARNER INVESTMENT MANAGEMENT LLC | AR WEALTH MANAGEMENT | APEX FINANCIAL GROUP, LLC | ANNA VOLLENWEIDER DBA SIMPLICITY FINANCIAL PLANNING LLC | ANGLE-LAU WEALTH MANAGEMENT | ANCHOR WEALTH MANAGEMENT LLC | ANCHOR WEALTH MANAGEMENT | ANCHOR POINT WEALTH ADVISORS LLC | ANCHOR CERTIFIED PLANNERS GROUP | AMERIFLEX GROUP | ALPHATRUST ADVISORS | ALPHA RETIREMENT SOLUTIONS | ALPHA FINANCIAL SERVICES | ALLISON INVESTMENT PLANNING, LLC | ALIGNED WEALTH GROUP | ALEXANDER FINANCIAL | ALEXANDER CAPITAL MANAGEMENT | ALCHEMY FINANCIAL GROUP | AHRENS AND ASSOCIATES | AGI FINANCIAL SERVICES, INC | AGAPE FINANCIAL SERVICES | AFFIRM FINANCIAL PARTNERS LLC | AEGEUS FINANCIAL SOLUTIONS, INC. | ADVOCACY ADVISORS | ADVISORYSOUTH, LLC | ADVISORY SOUTH | ADVISORS ON CALL, LLC | ADUDDELL CONSULTING, LLC DBA CHARTERED FINANCIAL SERVICES | ADAPTATION FINANCIAL | ADAMS & ASSOCIATES, INC | ADAM UDY GROUP | ACUTE WEALTHCARE LLC | ACCESSION FINANCIAL GROUP | ABU | ADAM UDY GROUP | ABRAM WEALTH ADVISORS | A NEW PATH FINANCIAL | 4M FINANCIAL | 3D FINANCIAL SERVICES...
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
1938 WEALTH ADVISORS | GATEWAY FINANCIAL ADVISORS | FOCUSED WEALTH ADVISORS LLC | FOCUSED WEALTH ADVISORS | FLIGHT FINANCIAL GROUP | FINANCIAL VISION, LLC | FINANCIAL VISION ADVISORY SERVICES, LLC | FINANCIAL INTEGRATORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | FIDUCIA LIFE GROUP | ELEFANT FINANCIAL | DUVAN BROCK FINANCIAL SERVICES, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | DRYSDALE WEALTH MANAGEMENT | DOMAN FINANCIAL | DIAMOND CAPITAL WEALTH | DEMPSEY LORD SMITH, LLC | CROWN WEALTH MANAGEMENT, INC. | CRNA FINANCIAL | CORNERSTONE ADVISORY GROUP, INC. | CORE NORTH CAPITAL PLANNING | COPIA INVESTMENTS | COOSA FINANCIAL PLANNING LLC | CAPITAL WEALTH ADVISORS LLC | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | BUSINESS AND FINANCIAL STRATEGIES LLC | BUSINESS AND FINANCIAL STRATEGIES | BUSINESS & FINANCIAL STRATEGIES, LLC | BUSINESS & FINANCIAL STRATEGIES | BURNS FINANCIAL SERVICES | BULLS FINANCIAL GROUP | BULL AND BEAR WEALTH MANAGEMENT PARTNERS, LLC | BULL AND BEAR WEALTH MANAGEMENT PARTNERS | BULL & BEAR WEALTH MANAGEMENT PARTNERS LLC | BUETOW AND SPITZLEY WEALTH MANAGEMENT | BRUCE W MOLDS | BROOKE & SCHAFER, LLC | BROBERG INVESTMENT GROUP, LLC | BRIDGEWAY FINANCIAL SERVICES | BRIDGES WEALTH MANAGEMENT | BREEN FINANCIAL MANAGEMENT, INC. | BRANDON LUEDTKE D.B.A. SMARTPRO FINANCIAL | BRACKEN FINANCIAL | BOYER AND SAPPENFIELD INVESTMENT ADVISOR | BOYER & SAPPENFIELD INVESTMENT ADVISORS | BOWBRIDGE ADVISORY GROUP | BORIA WEALTH MANAGEMENT, LTD | BORIA WEALTH MANAGEMENT | BLUSHGOLD WEALTH AND LEGACY LLC DBA BLUSHGOLD WEALTH AND LEGACY/DBA BLUSHGOLDWEALTH/DBA BLUSHGOLDWEALTH.COM | BLUEBIRD PRIVATE WEALTH LLC DBA BLUEBIRD PRIVATE WEALTH | BLUE DOT WEALTH MANAGEMENT | BLAKE MARTIN FINANCIAL | BINGHAM FINANCIAL | BFG ADVISORS | BEYOND WEALTH, LLC | BEYOND FINANCIAL PLANNING | BETTENDORF FINANCIAL GROUP | BETA INDUSTRIES INC. | BESSELMAN AND ASSOCIATES DBA BESSELMAN WEALTH PLANNERS | BERGERON FINANCIAL | BENZOR CAPITAL WEALTH | BENOIT FINANCIAL PLANNERS | BENKENDORFER INVESTMENT GROUP | BENCHMARK WEALTH ADVISORY LLC | BEDFORD WEALTH ADVISORS | BECKWITH FINANCIAL SERVICES | BEALE FINANCIAL GROUP | BEACON COVE FINANCIAL | BEACON CAPITAL MANAGEMENT ADVISORS | BCB INVESTMENT SERVICES | BAWAR ASSET MANAGEMENT LLC | BASS FINANCIAL STRATEGIES, INC. | BARTLETT WEALTH MANAGEMENT | BARKER INVESTMENT SERVICES | BARCOMB WEALTH MANAGEMENT | BARBARA MULL INVESTMENT SOLUTIONS | BAR -G FINANCIAL SERVICES | BANK IOWA INVESTMENT CENTER | BAKER WEALTH MANAGEMENT, INC | BAKER WEALTH MANAGEMENT | BAKER FINANCIAL GROUP | B RENNER LLC | AXIOM WEALTH PARTNERS, LLC | AXIOM WEALTH PARTNERS | AXIOM WEALTH ALLIANCE, LLC | AXIOM WEALTH ALLIANCE | ATTITUDE FINANCIAL ADVISORS | ATTAIN WEALTH PLANNING | ATLAS WEALTH ADVISERS | ATLAS ADVISORY GROUP | ATLANTIC CAPITAL PARTNERS | ATHLON WEALTH ADVISORS | ATHLON ADVISORS | ASSOCIATED PLANNING SERVICES, INC. | ASPIRE INVESTMENT MANAGEMENT | ASCEND WEALTH CONSULTING | ARROWSTAR FINANCIAL | ARNER INVESTMENT MANAGEMENT LLC | AR WEALTH MANAGEMENT | APEX FINANCIAL GROUP, LLC | ANNA VOLLENWEIDER DBA SIMPLICITY FINANCIAL PLANNING LLC | ANGLE-LAU WEALTH MANAGEMENT | ANCHOR WEALTH MANAGEMENT LLC | ANCHOR WEALTH MANAGEMENT | ANCHOR POINT WEALTH ADVISORS LLC | ANCHOR CERTIFIED PLANNERS GROUP | AMERIFLEX GROUP | ALPHATRUST ADVISORS | ALPHA RETIREMENT SOLUTIONS | ALPHA FINANCIAL SERVICES | ALLISON INVESTMENT PLANNING, LLC | ALIGNED WEALTH GROUP | ALEXANDER FINANCIAL | ALEXANDER CAPITAL MANAGEMENT | ALCHEMY FINANCIAL GROUP | AHRENS AND ASSOCIATES | AGI FINANCIAL SERVICES, INC | AGAPE FINANCIAL SERVICES | AFFIRM FINANCIAL PARTNERS LLC | AEGEUS FINANCIAL SOLUTIONS, INC. | ADVOCACY ADVISORS | ADVISORYSOUTH, LLC | ADVISORY SOUTH | ADVISORS ON CALL, LLC | ADUDDELL CONSULTING, LLC DBA CHARTERED FINANCIAL SERVICES | ADAPTATION FINANCIAL | ADAMS & ASSOCIATES, INC | ADAM UDY GROUP | ACUTE WEALTHCARE LLC | ACCESSION FINANCIAL GROUP | ABU | ADAM UDY GROUP | ABRAM WEALTH ADVISORS | A NEW PATH FINANCIAL | 4M FINANCIAL | 3D FINANCIAL SERVICES...
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Loading...
Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2025 | ||
| 11/26/2025 | ||
| 12/09/2024 | ||
| 04/29/2024 |
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.
