DANIEL GUY COTE is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 121 JOYCETON WAY, UPPER MARLBORO, MD, 20774.
DANIEL GUY COTE has worked at CETERA ADVISORS LLC since August 13, 2012
Disclosure History
DANIEL GUY COTE has 2 Disclosure Event(s).
Date: July 30, 2012 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES INC. Termination Type: Discharged Allegations: MR. COTE'S EMPLOYMENT WAS TERMINATED BECAUSE HIS MANAGERS LOST CONFIDENCE IN HIS ABILITY TO PERFORM THE RESPONSIBILITIES OF HIS ROLE, FOR REASONS INCLUDING FAILURE TO COMPLY WITH THE FIRM'S POLICIES ON ORDER ENTRY, EMAIL COMMUNICATIONS AND CUSTOMER COMPLAINTS. Broker Comment: THE CLAIMS MADE BY UBS FOR MY TERMINATION ARE COMPLETELY AND UTTERLY FALSE. I'VE WORKED AT SEVERAL OTHER LARGE WIRE HOUSES OVER THE LAST TWENTY YEARS AND NONE OF MY MANAGERS HAVE EVER LOST CONFIDENCE IN MY ABILITIES NOR HAVE ANY COMPLAINTS OF ANY KIND WHATSOEVER EVER BEEN DIRECTED AT ME BY ANYONE INCLUDING CLIENTS. I HAVE ALWAYS MAINTAINED THE HIGHEST DEGREE OF PROFESSIONALISM IN EVERY ASPECT OF MY CAREER. THE BEHAVIOR BY THIS UBS OFFICE IS NOT UNCOMMON AND OTHER EMPLOYEES HAVE ALSO RECEIVED THE SAME TREATMENT WITHOUT PROVOCATION.
Date: July 05, 2012 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: CHAPTER 7 FILING WAS DUE TO PENDING DIVORCE.
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