Monona, WI Office

Coordinated Capital Securities (CCS) provides investment management, financial planning, and retirement plan consulting to individuals, trusts, plan sponsors and business entities. The firm offers both CCS‑sponsored discretionary and non‑discretionary management programs, access to Wells Fargo Advisors‑sponsored wrap programs and referrals to third‑party managers, and is supported by a team of 16 Financial Professionals managing roughly $137 million for about 186 clients.

CCS delivers individualized advice and allows client‑imposed restrictions while offering both wrap and traditional programs; its investment strategies can include long‑ and short‑term equity holdings, tactical and strategic asset allocation, covered option writing and the use of margin. Custody and trade clearing are generally handled through First Clearing/Wells Fargo Advisors, and clients’ advisory arrangements may be structured as discretionary or non‑discretionary depending on the signed agreement.

Several organizational features distinguish CCS from many peers: it is dually registered as a broker‑dealer and investment adviser and acts as an introducing broker for First Clearing, which creates the potential for both commission and fee relationships; it is affiliated with an insurance general agency and some Financial Professionals are licensed insurance agents; and the firm disclosed an SEC order (2020) relating to mutual fund share‑class selection and has implemented remedial steps such as crediting certain 12b‑1 fees and pursuing share‑class conversions. CCS is also deemed to have custody under applicable rules because it may deduct advisory fees from client accounts and is subject to related custody oversight procedures.