Tracy Coffman, financial advisor Austin TX
81 score

Tracy Coffman

CRD Number: 5300051
Current Firm: Cetera Investment Advisers LLC

Tracy Coffman (CRD# 5300051) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Austin, TX and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Financial Specialists LLC Schaumburg, IL Nov 2012 - Current 4
Cetera Investment Advisers LLC Schaumburg, IL Nov 2012 - Current 4
Coffman Financial Austin, TX Oct 2012 - Current 4
Lpl Financial Austin, TX Oct 2010 - Nov 2012 2
Planmember Securities Corporation Carpinteria, CA Apr 2007 - Oct 2010 3
Elite Plus Financial Kyle, TX Nov 2005 - Oct 2010 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2007
S65 NASAA Investment Advisors Law Examination Oct 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Tracy B. Coffman
Phone Number: 888-528-2987
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    7,010
    MILLIONS
  • Total Number of Accounts
    26,660
    ACCOUNTS
  • Average Account Value
    $262,943
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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