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Category: Coastal Equities

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SEC Files Enforcement Action Against Financial Advisor Clarice Saw

Clarice Saw (CRD#: 2633118) is a registered Broker and an Investment Adviser at Coastal Equities, Inc., in Wilmington, DE. Broker’s Background She entered the securities industry in 1996 and previously worked for Cetera Investment Advisers, LLC; Cetera Investment Services, LLC; Citigroup Global Markets, Inc.; LPL Financial, LLC; Signature Securities Group; Citicorp Investment Services; ABN Amro […]

Financial Advisor Robert Mehlin, Jr. Fined & Suspended by FINRA For Alleged Unauthorized Trading

Robert Mehlin, Jr. (CRD#: 736694) is a previously registered Broker and currently registered Investment Advisor. Broker’s Background He entered the securities industry in 1981 and previously worked for Coastal Equities, Inc.; Wells Fargo Advisors Financial Network, LLC; Morgan Stanley; Citigroup Global Markets, Inc.; RBC Dain Rauscher, Inc.; Tucker Anthony, Inc.; Gibraltar Securities Co; and Dolan […]

Financial Advisor Luke Johnson (Coastal Equities, Inc.) Customer Complaints

Luke Johnson (CRD # 3257008) is a former Financial Advisor at Coastal Equities in Scottsdale, Arizona. Luke Johnson has been in the securities industry since 2000 and previously worked at Summit Brokerage Services and Carillon Investments. Luke Johnson is currently a registered investment advisor representative with Prime Capital Investment Advisors. The Wolper Law Firm, P.A. […]

Financial Advisor Dudley Stephens (Coastal Equities, Inc.) Customer Complaints

Dudley Stephens is a former Financial Advisor at Coastal Equities, Inc. in New York, NY.  Dudley Stephens has been in the securities industry since 2000 and previously worked at Prospera Financial Services, Wells Fargo Advisors and seven brokerage firms that have since been expelled from the securities industry.  According to publicly available records released by […]

Financial Advisor Robert C Mehlin, Jr. (Coastal Equities, Inc.) Customer Complaints

Robert C Mehlin, Jr. is a Financial Advisor at Coastal Equities in Fairfield, NJ.  Robert Mehlin, Jr. has been in the securities industry since 1981 and previously worked at Dolan & Pitcher, Inc., Gibraltar Securities Co., Tucker Anthony Incorporated, RBC Dain Rauscher, Inc., Citigroup Global Markets, Inc., Morgan Stanley and Wells Fargo Advisors Financial Network, […]