AC
AC
Adam Coons is a registered investment advisor, based in Santa Barbara, CA, with 19 years of industry experience.
Location
735 State Street, Suite 516, Santa Barbara, CA, 93101
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
July 2016Other Business ActivitiesSells Insurance
Adam is involved with Outwing Private Wealth Management and Arete Wealth Management as a registered representative. He also works as an insurance agent, selling accident and health, life, and variable life and annuity products, and spends minimal time as a solicitor for Uhlmann Price Securities, LLC.
Employment History
Current Registrations
Arete Wealth Management, LLCBroker
April 2025 - Present · 1 yr 1 mo
Outwing Private Wealth Management
September 2022 - Present · 3 yrs 8 mos
Previous Registrations
Axxcess Wealth Management, LLC
January 2022 - January 2024 · 2 yrs
Axxcess Wealth Management, LLC
April 2020 - December 2021 · 1 yr 8 mos
Arete Wealth Management, LLCBroker
October 2016 - April 2023 · 6 yrs 6 mos
Daniel Investment Associates, LLC
July 2016 - December 2020 · 4 yrs 5 mos
UBS Financial Services INC.
June 2012 - July 2016 · 4 yrs 1 mo
UBS Financial Services INC.Broker
June 2012 - July 2016 · 4 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2009 - May 2012 · 3 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2009 - May 2012 · 3 yrs 2 mos
Citigroup Global Markets INC.
February 2007 - March 2009 · 2 yrs 1 mo
Citigroup Global Markets INC.Broker
December 2006 - March 2009 · 2 yrs 3 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.