Chief Compliance Officer · IBN Financial Services, Inc
Monica Ann Coles
CRD 5445069 · Named on Form ADV at 4 SEC-registered advisers
At a glance
IBN Financial Services, Inc, an SEC-registered broker-dealer firm based in Liverpool, NY with $88 million in regulatory assets, lists Monica Ann Coles on its Form ADV as Chief Compliance Officer. The SEC filings also name Monica at 3 other registered advisers.
Firms and roles
- IBN Financial Services, IncChief Compliance OfficerBroker-dealer firm · Liverpool, NY · $88M in regulatory assets
- IBN Advisory Services, Inc.Chief Compliance OfficerWealth manager · Liverpool, NY · $70M in regulatory assets
- Oxford Harriman Private Wealth ManagementChief Compliance Officer, PresidentAsset manager · Indianapolis, IN · $0M in regulatory assets
- Twenty Four WealthChief Compliance OfficerAsset manager · Darien, CT · $0M in regulatory assets
AtlasMembers
Monica’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 4 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2010 (16 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Monica’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 4 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (7)
- Richard James Jr CarlescoChief Executive Officer, Cheif Financial Officer, IBN Financial Services, Inc
- Christopher Ryan AveryChief Operations Officer, IBN Financial Services, Inc
- Timothy Edward EvansEquity Partner, IBN Financial Services, Inc
- Karen Le'ellen CokerDirector, IBN Financial Services, Inc
- Dennis P. BarbaFounder and Chairman, Oxford Harriman Private Wealth Management
2 more people named with Monica on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Monica’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.