COTE FINANCIAL MANAGEMENT, LLC is an SEC-registered investment adviser (CRD 153088). Regulatory assets under management: $151.2M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Stephen Mark Cote | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| NICASTRO JOHN PETER | CHIEF COMPLIANCE OFFICER | — |
| NICASTRO DAVID LUKE | CHIEF OPERATING OFFICER | — |
| COTE STEPHEN | CHIEF EXECUTIVE OFFICER | — |
| COTE STEPHEN MARK | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-08-01 | regulatory | DISPUTE BETWEEN MY FORMER EMPLOYER AND MYSELF. PAPERWORK WAS NOT FILED IN A TIMELY MANNER, ONCE CLAIRIFED, ISSUE AND SUSPENSION WAS LIFTED IMMEDIATELY. | Final | — |