Mark D. Coffey

HICKORY FINANCIAL GROUP

Hickory, NC 28601

Some features on this profile are disabled

CRD#: 2400035

Professional summary

Mark David Coffey is a registered financial advisor currently at HICKORY FINANCIAL GROUP, LLC located in Hickory, North Carolina.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Mark has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) COFFEY FAMILY INVESTMENTS LLC - HICKORY, NC; CORPORATE REAL ESTATE OWNERSHIP AND RENTAL; OWNER/MANAGER; COLLECT RENT, MOVE BANK DEPOSITS, PAY BILLS; 1% OF TIME SPENT 2) 127 NORTH PROPERTIES LLC - HICKORY, NC; COMMERCIAL REAL ESTATE OWNERSHIP AND RENTAL; OWNER/MANAGER; COLLECT RENT, MAKE BANK DEPOSITS, PAY BILLS; 1% OF TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Coffey's CRS (Customer Relationship Summary).

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

Current

September 18, 2020 - Present

HICKORY FINANCIAL GROUP, LLC

Office #1: 42 3rd Street Nw, Hickory, NC 28601

RIA

CRD#: 306201

Hickory, NC

Past

December 14, 2019 - September 1, 2020

HICKORY FINANCIAL GROUP, LLC

RIA

CRD#: 306201

HICKORY, NC

Past

November 6, 2018 - January 17, 2020

AVENIR PRIVATE ADVISORS, LLC

RIA

CRD#: 298064

Hickory, NC

Past

June 2, 2017 - July 27, 2018

KOVACK SECURITIES INC.

CRD#: 44848

Hickory, NC

Past

November 19, 2012 - November 6, 2018

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

HICKORY, NC

Past

November 19, 2012 - June 8, 2017

CAPITAL GUARDIAN, LLC

CRD#: 137919

HICKORY, NC

Past

June 7, 2010 - April 27, 2012

CAPITOL SECURITIES & ASSOCIATES, INC.

CRD#: 7278

GLEN ALLEN, VA

Past

March 30, 2007 - November 19, 2012

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

HICKORY, NC

Past

March 23, 2007 - November 19, 2012

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

HICKORY, NC

Past

April 4, 2005 - March 27, 2007

ANDERSON & STRUDWICK, INCORPORATED

RIA

CRD#: 48

HICKORY, NC

Past

June 18, 2004 - April 4, 2005

A&S CAPITAL ADVISORS, INC.

RIA

CRD#: 108827

HICKORY, NC

Past

January 16, 2004 - March 27, 2007

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

HICKORY, NC

Past

December 31, 2001 - February 3, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HICKORY, NC

Past

August 14, 2000 - February 3, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 3, 1998 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

November 24, 1993 - April 30, 1998

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(9/18/2020)

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: 1/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/23/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/2004

General Securities Principal Examination

Current Firm

HICKORY FINANCIAL GROUP, LLC

CRD#: 306201 / SEC#: 801-117740

RIA

Registered Investment Advisory firm - (9/1/2020 Terminated)

North Carolina

Registered Investment Advisory firm - (9/1/2020 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

42 3rd Street Nw, Hickory, NC 28601

Mailing Address

Phone number

(828) 455-1967

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 7,000,000

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.

Similar Advisors

Zackary Royce

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Pietro Lombardi

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

Brandon Hendricks

MARINER WEALTH

IAR

Commercial Point, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark D. Coffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Coffey's CRS (Customer Relationship Summary).

Certified licenses

Experience

HICKORY FINANCIAL GROUP, LLC

AVENIR PRIVATE ADVISORS, LLC

KOVACK SECURITIES INC.

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CAPITAL GUARDIAN, LLC

CAPITOL SECURITIES & ASSOCIATES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

ANDERSON & STRUDWICK, INCORPORATED

A&S CAPITAL ADVISORS, INC.

ANDERSON & STRUDWICK, INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

FIRST UNION CAPITAL MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/1994

Series 63

Date: 12/7/1993

SIE

Date: 7/27/2018

Series 7

Date: 11/23/1993

Series 4

Date: 3/23/2006

Series 24

Date: 4/13/2004

Current Firm

HICKORY FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HICKORY FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors