Joseph Coleman, financial advisor Alpharetta GA
81 score

Joseph Coleman

CRD Number: 5387932
Current Firm: Morgan Stanley

Joseph Coleman (CRD# 5387932) is an Investment Advisor Representative working at Morgan Stanley in Alpharetta, GA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Alpharetta, GA Sep 2012 - Current 4
E*trade Securities LLC Alpharetta, GA May 2009 - Current 7
E*trade Capital Management LLC Alpharetta, GA Nov 2010 - Sep 2012 1
Unemployed Alpharetta, GA Dec 2008 - Apr 2009 < 1
Ubs Financial Services Inc. Alpharetta, GA Jul 2007 - Nov 2008 1
Southstar Funding Atlanta, GA Jan 2000 - Apr 2007 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Joseph P. Coleman
Phone Number: 914-225-5510
Registered State(s):
  • GA
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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