Kelly T. Coughlin

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CRD#: 1014477

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kelly Thomas Coughlin, who also goes by K. Thomas Coughlin, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 1981. Kelly had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

K. Thomas Coughlin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) EveryDay CPA, Inc. --- Tax and Accounting Firm (2) The Biz Geeks, LLC --- Digital Marketing Firm

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 3, 2019 - November 3, 2022

INNOVATIVE ADVISORY GROUP

RIA

CRD#: 146618

Eagan, MN

Past

August 6, 2010 - September 12, 2012

GLOBALBRIDGE

RIA

CRD#: 111538

MINNEAPOLIS, MN

Past

December 3, 2001 - October 28, 2003

MAXWELL SIMON, INC.

CRD#: 12667

MINNEAPOLIS, MN

Past

January 11, 2001 - October 31, 2001

SUMNER HARRINGTON LTD.

CRD#: 45858

MINNETONKA, MN

Past

October 7, 1994 - September 1, 1999

IAI SECURITIES, INC.

CRD#: 27917

MINNEAPOLIS, MN

Past

September 15, 1992 - April 30, 1993

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 11, 1990 - October 17, 1990

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

March 4, 1983 - July 10, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

November 17, 1981 - March 2, 1983

PIPER SANDLER & CO.

CRD#: 665

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INNOVATIVE ADVISORY GROUP

INNOVATIVE ADVISORY GROUP | NUA ADVISORS, LLC | NUA ADVISORS | INNOVATIVE ADVISORY GROUP, LLC

CRD#: 146618 / SEC#: 801-122046

RIA

Registered Investment Advisory firm - (10/28/2021 Approved)

Arizona

Registered Investment Advisory firm - (11/4/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (12/18/2013 Terminated)

Florida

Registered Investment Advisory firm - (9/21/2011 Terminated)

Maine

Registered Investment Advisory firm - (11/8/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/4/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (11/9/2021 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (11/4/2021 Terminated)

New York

Registered Investment Advisory firm - (11/4/2021 Terminated)

Ohio

Registered Investment Advisory firm - (12/7/2011 Terminated)

South Carolina

Registered Investment Advisory firm - (11/4/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/4/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/28/1987

General Securities Principal Examination

Current Firm

INNOVATIVE ADVISORY GROUP

INNOVATIVE ADVISORY GROUP | NUA ADVISORS, LLC | NUA ADVISORS | INNOVATIVE ADVISORY GROUP, LLC

CRD#: 146618 / SEC#: 801-122046

RIA

Registered Investment Advisory firm - (10/28/2021 Approved)

Arizona

Registered Investment Advisory firm - (11/4/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (12/18/2013 Terminated)

Florida

Registered Investment Advisory firm - (9/21/2011 Terminated)

Maine

Registered Investment Advisory firm - (11/8/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/4/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (11/9/2021 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (11/4/2021 Terminated)

New York

Registered Investment Advisory firm - (11/4/2021 Terminated)

Ohio

Registered Investment Advisory firm - (12/7/2011 Terminated)

South Carolina

Registered Investment Advisory firm - (11/4/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/4/2021 Terminated)

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Contact information

Main Address

394 Lowell Street, Suite 8, Lexington, MA 02420

Mailing Address

Po Box 750073, Arlington, MA 02475

Phone number

(781) 577-2782

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IAG FIRM BROCHURE - MARCH 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	790
AUM (Assets Under Management)	$ 160,500,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kelly T. Coughlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBALBRIDGE

MAXWELL SIMON, INC.

SUMNER HARRINGTON LTD.

IAI SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

VANGUARD CAPITAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PIPER SANDLER & CO.

Primary Firm SEC Registration

INNOVATIVE ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2018

Series 63

Date: 10/27/1998

Series 7

Date: 10/17/1981

Series 24

Date: 8/28/1987

Current Firm

INNOVATIVE ADVISORY GROUP

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INNOVATIVE ADVISORY GROUP

TRUST BUT VERIFY

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