CLIFTON MARCELLUS COGER is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 7144 HULL STREET ROAD, RICHMOND, VA, 23235.
CLIFTON MARCELLUS COGER has worked at CETERA ADVISORS LLC since October 13, 2000
Disclosure History
CLIFTON MARCELLUS COGER has 1 Disclosure Event(s).
Date: August 22, 2000 Category: Employment Separation After Allegations Firm Name: INVESTACORP, INC. Termination Type: Discharged Allegations: USING UNAPPROVED BUSINESS ADVERTISEMENT WITHOUT PRIOR APPROVAL (COMPANY BROCHURE AND WEB PAGE). SPEAK AT AN ENGAGEMENT AS A CPA ON TAX DEFERRED RETIREMENT PLANS. Broker Comment: INVESTACORP HAD PROBLEMS WITH THE COMPANY PROFILE BROCHURE USING THE TERMS "PLANNING AND CONSULTING" (IE TAX, RETIREMENT, AND ESTATE PLANNING). AS A CPA I PROVIDE PROACTIVE PLANNING WITH MY CLIENTS. MY COMPANY BROCHURES, WEB PAGE AND BUSINESS CARD STATE THIS INFORMATION. AS PART OF MY MARKETING EFFORTS, I SPEAK AT ENGAGEMENTS ON TAX PLANNING AND TAX DEFERRED PLANNING AND TAX LAWS APPLYING TO THESE AREAS. ALTHOUGH I SENT WHAT FEW OVERHEADS I HAD TO THE COMPLIANCE OFFICE BEFORE THE ENGAGEMTNE, THEY SAID THEY NEVER RECEIVED THE PACKAGE AND I SHOULDN'T HAVE SPOKEN AT THE ENGAGEMENT WITHOUT APPROVAL OF THE OVERHEADS.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for CLIFTON MARCELLUS COGER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.