Coordinated Capital Securities, Inc..

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of Form
ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives rise
to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates

One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for
registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event
occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the event? If
the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
U.S. SECURITIES AND EXCHANGE COMMISSION
2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
THE ORDER ALSO INSTRUCTS US TO PAY DISGORGEMENT, PREJUDGEMENT INTEREST, A CIVIL PENALTY, CENSURE AND TO COMPLETE CERTAIN UNDERTAKINGS AS DEFINED BY THE
ORDER.
3.
Date Initiated (MM/DD/YYYY): 
09/17/2020
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
3-20012
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Mutual Fund(s)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE SEC'S ORDER FINDS THAT FROM JANUARY 1, 2014 THROUGH DECEMBER 2018 THE FIRM PURCHASED, RECOMMENDED OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE
CLASSES THAT CHARGED 12-B1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS THAT WERE AVAILABLE TO THOSE CLIENTS, AND DID NOT ADEQUATELY
DISCLOSE IN ITS FORM ADV OR ELSEWHERE THE CONFLICTS OF INTEREST RELATED TO THE SELECTION OF THESE SHARE CLASSES. THE ORDER ALSO FINDS THAT THE FIRM VIOLATED
ITS DUTY TO SEEK BEST EXECUTION FOR THOSE TRANSACTIONS AND THAT THE FIRM FAILED TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY
DESIGNED TO PREVENT VIOLATIONS OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT) AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE
CLASS SELECTION PRACTICES.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order

11. Resolution Date (MM/DD/YYYY):
09/17/2020
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 581,961.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
THE ORDER ALSO REQUIRED THE FIRM TO COMPLETE CERTAIN UNDERTAKINGS AS DEFINED BY THE ORDER.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.).
If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been
satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate,
date paid and if any portion of penalty was waived: 
THE ORDER INSTRUCTS THE FIRM TO PAY DISGORGEMENT AND PREJUDGEMENT INTEREST OF $511,961 AND A CIVIL PENALTY OF $70,000 TOTALING $581,961
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space
provided).
AS PART OF THE SETTLEMENT TERMS OF THE ORDER, THE SEC FOUND THAT THE FIRM WILLFULLY VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER,
AND ORDERED THE FIRM TO PAY DISGORGEMENT, PREJUDGEMENT INTERST, A CIVIL PENALTY, TO COMPENSATE AFFECTED INVESTORS AND TO COMPLETE CERTAIN UNDERTAKINGS.
THE FIRM CONSENTED TO THE ENTRY OF THE ORDER WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS. AS A RESULT, THE FIRM HAS TAKEN THE FOLLOWING ACTIONS: UPDATED
FORM ADV DISCLOSURES; UPDATED COMPANY POLICIES AND PROCEDURES; IDENTIFIED CLIENTS ELIGIBLE TO CONVERT TO A LOWER-COST SHARE CLASS; IDENTIFIED CLIENTS
ELIGIBLE FOR REIMBURSEMENT OF THE 12B-1 FEES PAID DURING THE RELEVANT PERIOD.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of Form
ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives rise
to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for
registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event
occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years ago.

This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the event? If
the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
US SECURITIES AND EXCHANGE COMMISSION
2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
THE ORDER ALSO INSTRUCTS US TO PAY DISGORGEMENT, PREJUDGEMENT INTEREST, A CIVIL PENALTY, CENSURE AND TO COMPLETE CERTAIN UNDERTAKINGS AS DEFINED BY THE
ORDER.
3.
Date Initiated (MM/DD/YYYY): 
09/17/2020
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
3-20012
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Mutual Fund(s)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE SEC'S ORDER FINDS THAT FROM JANUARY 1, 2014 THROUGH DECEMBER 2018 THE FIRM PURCHASED, RECOMMENDED OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE
CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS THAT WERE AVAILABLE TO THOSE CLIENTS, AND DID NOT ADEQUATELY
DISCLOSE IN ITS FORM ADV OR ELSEWHERE THE CONFLICTS OF INTEREST RELATED TO THE SELECTION OF THESE SHARE CLASSES. THE ORDER ALSO FINDS THAT THE FIRM VIOLATED
ITS DUTY TO SEEK BEST EXECUTION FOR THOSE TRANSACTIONS AND THAT THE FIRM FAILED TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY
DESIGNED TO PREVENT VIOLATIONS OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT) AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE
CLASS SELECTION PRACTICES.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
09/17/2020
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 581,961.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
THE ORDER ALSO REQUIRED FIRM TO COMPLETE CERTAIN UNDERTAKINGS AS DEFINED BY THE ORDER.

Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.).
If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been
satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate,
date paid and if any portion of penalty was waived: 
THE ORDER INSTRUCTS THE FIRM TO PAY DISGORGEMENT AND PREJUDGEMENT INTEREST OF $511,961 AND A CIVIL PENALTY OF $70,000 TOTALING $581,961
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space
provided).
AS PART OF THE SETTLEMENT TERMS OF THE ORDER, THE SEC FOUND THAT THE FIRM WILLFULLY VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER,
AND ORDERED THE FIRM TO PAY DISGORGEMENT, PREJUDGEMENT INTEREST, A CIVIL PENALTY, TO COMPENSATE AFFECTED INVESTORS AND TO COMPLETE CERTAIN UNDERTAKINGS.
THE FIRM CONSENTED TO THE ENTRY OF THE ORDER WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS. AS A RESULT, CCS HAS TAKEN THE FOLLOWING ACTIONS: UPDATED
FORM ADV DISCLOSURES; UPDATED COMPANY POLICIES AND PROCEDURES; IDENTIFIED CLIENTS ELIGIBLE TO CONVERT TO A LOWER COST CHARE CLASS; IDENTIFIED CLIENTS
ELIGIBLE FOR REIMBURSEMENT OF THE 12-B1 FEES PAID DURING THE RELEVANT PERIOD.