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JAMES E COFFIN III
JAMES EDWARDS COFFIN III, JAMES E COFFIN III III, JAMES EDWARDS GOFFIN III
CRD#: 1871146
IA
B
MORGAN STANLEYCRD#: 149777 400 Capitol Mall
Suite 1900
Sacramento, CA 95814
Suite 1900
Sacramento, CA 95814
0
Disclosures
36
Years of Experience
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State Registrations
B
Alaska 12/7/2015
B
Nevada 6/1/2009
B
Arizona 7/16/2018
B
New Mexico 6/1/2009
B
California 6/1/2009
B
Oklahoma 5/6/2022
IA
California 6/1/2009
B
Oregon 6/1/2009
B
Florida 1/14/2022
B
South Carolina 5/28/2021
B
Hawaii 9/11/2018
B
Tennessee 8/13/2021
B
Idaho 6/1/2009
B
Texas 12/6/2013
B
Illinois 7/30/2024
IA
Texas 10/21/2015
B
Iowa 6/23/2016
B
Utah 2/5/2025
B
Kansas 6/1/2009
B
Virginia 1/11/2019
B
Massachusetts 1/6/2022
B
Washington 6/1/2009
B
Montana 11/9/2018
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | SACRAMENTO, CA | |
B | 04/02/2007 - 06/01/2009 | SACRAMENTO, CA | |
IA | 07/08/1997 - 04/02/2007 | SACRAMENTO, CA | |
B | 09/20/1988 - 04/02/2007 | SACRAMENTO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.