Coordinated Capital Securities, Inc.

Coordinated Capital Securities (CCS) provides investment management, financial planning, retirement-plan consulting, and limited-scope advisory services to individuals (including high-net-worth clients), plan sponsors, and other entities. The firm offers both wrap-fee and traditional asset-based advisory programs, third‑party manager referrals, and retirement-account rollover guidance through its network of Financial Professionals.

Advisory services are delivered by independent Financial Professionals who may manage accounts on either a discretionary or non-discretionary basis; the brochure indicates a substantial portion of assets are handled non-discretionarily, so clients often retain trade approval and must designate authority in writing for discretionary programs. Investment strategies include equities, fixed income, mutual funds and ETFs, and CCS generally directs custody and trade execution through its clearing relationship with First Clearing/Wells Fargo Advisors while requiring at least annual client reviews.

Compared with many multi‑team firms, CCS is dually registered as both a broker‑dealer and an SEC-registered investment adviser and is treated as having custody under SEC rules due to fee‑deduction and related practices, subjecting it to surprise custody examinations and specific custody procedures. The firm is affiliated with an insurance general agency and discloses a prior SEC enforcement action concerning mutual fund share‑class selection and the remedial steps taken (including policy changes and share‑class conversions), and it also acts as an introducing broker that receives transaction and account fees through its clearing arrangement.