COORDINATED CAPITAL SECURITIES, INC. of FORT ATKINSON, WI is an SEC-registered investment adviser (CRD 14762). Regulatory assets under management: $136.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Mari Jo Buechner | CHIEF EXECUTIVE OFFICER, PRESIDENT; OWNER OF HOLDING COMPANY | — |
| Tracy Naioma Williams | VICE PRESIDENT | — |
| Sara Danielle Williams | CHIEF COMPLIANCE OFFICER | — |
| BUECHNER MARI JO | CHIEF EXECUTIVE OFFICER, PRESIDENT; CHIEF EXECUTIVE OFFICER, PRESIDENT & CHIEF COMPLIANCE OFFICER; OWNER OF HOLDING COMPANY | — |
| PETERS DONNA JEAN | DIRECTOR, EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT | — |
| WILLIAMS TRACY NAIOMA | VICE PRESIDENT | — |
| WILLIAMS SARA DANIELLE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-09-17 | regulatory | THE SEC'S ORDER FINDS THAT FROM JANUARY 1, 2014 THROUGH DECEMBER 2018 THE FIRM PURCHASED, RECOMMENDED OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12-B1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS THAT WERE AVAILABLE TO THOSE CLIENTS, AND DID NOT ADEQUATELY DISC… | Final | $582K |