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Richard Fernandez Coley

SG Americas Securities, LLC

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About Richard Fernandez Coley

Richard Fernandez Coley is a financial professional with over 10 years of experience in the securities industry. Richard is currently registered with SG Americas Securities, LLC. Prior to this, Richard was employed by ING Financial Markets LLC, RBS Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard holds FINRA Series 7 and SIE licenses. Richard is also licensed in New Jersey.

Firm Information

Richard Coley is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Richard Coley’s Registration & Firm History

NY

06/06/2019 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

09/16/2011 - 09/06/2018

ING FINANCIAL MARKETS LLC (NEW YORK NY)

CT

09/27/2010 - 07/26/2011

RBS SECURITIES INC. (STAMFORD CT)

NY

02/20/2008 - 07/31/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/14/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/06/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard Fernandez Coley.
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