AC
AC
Arthur Coleman
46 Years of Experience
New York, NY
3 DisclosuresBroker
Arthur Coleman is a registered investment advisor at Raymond James & Associates, INC., based in New York, NY, with 46 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
320 Park Avenue, Fl 9, New York, NY, 10022
Get directionsHistory
Regulatory History (3)
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.
Customer Dispute
August 2011Denied
Customer Dispute
November 2009Settled
Customer Dispute
September 1998Denied
Other Business Activities
Arthur is the co-op board president at Patricia Gardens in Larchmont, NY, since 2020. He spends minimal time attending meetings and making decisions related to the co-op.
Employment History
Current Registrations
Raymond James & Associates, INC.
July 2021 - Present · 5 yrs 2 mos
Raymond James & Associates, INC.Broker
July 2021 - Present · 5 yrs 2 mos
Raymond James & Associates, INC.
July 2021 - Present · 5 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2013 - July 2021 · 8 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
January 2013 - July 2021 · 8 yrs 6 mos
Advanced Equities, INC.
February 2010 - November 2012 · 2 yrs 9 mos
Advanced Equities, INC.Broker
January 2010 - November 2012 · 2 yrs 10 mos
Citigroup Global Markets INC.
May 2007 - December 2009 · 2 yrs 7 mos
Citigroup Global Markets INC.Broker
May 2007 - December 2009 · 2 yrs 7 mos
Citicorp Investment ServicesBroker
November 2004 - May 2007 · 2 yrs 6 mos
Citicorp Investment Services
October 2004 - May 2007 · 2 yrs 7 mos
Dinosaur Securities, L.L.C.Broker
January 2004 - July 2004 · 6 mos
UBS Painewebber INC.Broker
April 1996 - March 2003 · 6 yrs 11 mos
Oppenheimer & CO., INC.Broker
January 1980 - May 1996 · 16 yrs 4 mos
Thomson Mckinnon Securities INC.Broker
January 1979 - February 1980 · 1 yr 1 mo
Moseley, Hallgarten & Estabrook INCBroker
January 1978 - January 1979 · 1 yr
State Registrations12 states
CTDEFLMAMENJNYOKPRTXUTVA
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.