Eric Thomas Koeplin | Financial Professional

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.

Eric Thomas Koeplin, who also goes by Eric Koeplin, was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1996. Eric had worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Eric Koeplin

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.

The advisor shows no other business activity.

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

May 5, 2025 - April 1, 2026

EVERSOURCE WEALTH ADVISORS, LLC

RIA

CRD#: 286340

Englewood, CO

Past

December 5, 2021 - September 25, 2025

ALPHA PRINCIPLE, LLC

RIA

CRD#: 317053

ENGLEWOOD, CO

Past

October 14, 2019 - December 31, 2021

ADVICEPERIOD, LLC

RIA

CRD#: 169828

Littleton, CO

Past

May 30, 1996 - May 9, 2018

BOK FINANCIAL PRIVATE WEALTH, INC.

RIA

CRD#: 106733

DENVER, CO

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".

EW

EVERSOURCE WEALTH ADVISORS, LLC

CRD#: 286340 / SEC#: 801-119192

RIA

Registered Investment Advisory firm - (7/29/2020 Approved)

Alabama

Registered Investment Advisory firm - (8/11/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (8/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (8/11/2020 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: 8/5/1992

Uniform Investment Adviser Law Examination

Current Firm

EW

EVERSOURCE WEALTH ADVISORS, LLC

CRD#: 286340 / SEC#: 801-119192

RIA

Registered Investment Advisory firm - (7/29/2020 Approved)

Alabama

Registered Investment Advisory firm - (8/11/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (8/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (8/11/2020 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).

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Contact information

Main Address

3500 Colonnade Parkway Suite 150, Birmingham, AL 35243

Mailing Address

Phone number

(205) 982-5515

Established

Firm type

Fiscal year end

# of Employees

76

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVERSOURCE PART 2A (6/5/2025)

EVERSOURCE WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	12,633
AUM (Assets Under Management)	$ 3,954,297,526

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

Eric T. Koeplin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EVERSOURCE WEALTH ADVISORS, LLC

ALPHA PRINCIPLE, LLC

ADVICEPERIOD, LLC

BOK FINANCIAL PRIVATE WEALTH, INC.

Primary Firm SEC Registration

EVERSOURCE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1992

Current Firm

EVERSOURCE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EVERSOURCE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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