NC
Nicholas J. Coppola
PRINCIPAL ASSET MANAGEMENT
Mountainside, NJ
Some features on this profile are disabled
CRD#: 2550955
NC
Professional summary
Nicholas James Coppola, who also goes by Nicholas J Coppola, Nick Coppola, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Mountainside, New Jersey and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Nicholas has worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas J Coppola | Nick Coppola
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.
*Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James Coppola'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®
NoneExperience
Current
November 26, 2018 - Present
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Mountainside, NJ
Current
February 10, 2012 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
October 23, 2018 - November 21, 2018
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
DOWNERS GROVE, IL
Past
February 16, 2012 - October 23, 2018
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
February 10, 2012 - December 26, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 23, 2009 - July 19, 2011
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
HARTFORD, CT
Past
July 30, 2009 - July 19, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
HARTFORD, CT
Past
July 13, 2007 - December 26, 2008
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
Past
December 14, 2005 - December 26, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SAN FRANCISCO, CA
Past
July 24, 1995 - December 7, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/10/2012)
RR
Alaska(2/10/2012)
RR
Arizona(2/10/2012)
RR
Arkansas(2/10/2012)
RR
California(2/10/2012)
RR
Colorado(2/10/2012)
RR
Connecticut(2/10/2012)
RR
Delaware(2/10/2012)
RR
District of Columbia(2/10/2012)
RR
Florida(2/10/2012)
RR
Georgia(2/10/2012)
RR
Hawaii(2/10/2012)
RR
Idaho(2/10/2012)
RR
Illinois(2/10/2012)
RR
Indiana(2/10/2012)
RR
Iowa(2/10/2012)
RR
Kansas(2/10/2012)
RR
Kentucky(2/10/2012)
RR
Louisiana(2/10/2012)
RR
Maine(2/10/2012)
RR
Maryland(2/10/2012)
RR
Massachusetts(2/10/2012)
RR
Michigan(2/10/2012)
RR
Minnesota(2/10/2012)
RR
Mississippi(2/10/2012)
RR
Missouri(2/10/2012)
RR
Montana(2/10/2012)
RR
Nebraska(2/10/2012)
RR
Nevada(2/10/2012)
RR
New Hampshire(2/10/2012)
RR
New Jersey(2/10/2012)
IAR
New Jersey(11/26/2018)
RR
New Mexico(2/10/2012)
RR
New York(2/10/2012)
RR
North Carolina(2/10/2012)
RR
North Dakota(2/10/2012)
RR
Ohio(2/13/2012)
RR
Oklahoma(2/10/2012)
RR
Oregon(2/10/2012)
RR
Pennsylvania(2/10/2012)
RR
Rhode Island(2/10/2012)
RR
South Carolina(2/10/2012)
RR
South Dakota(2/10/2012)
RR
Tennessee(2/10/2012)
RR
Texas(2/10/2012)
RR
Utah(2/10/2012)
RR
Vermont(2/10/2012)
RR
Virginia(2/10/2012)
RR
Washington(2/10/2012)
RR
West Virginia(2/10/2012)
RR
Wisconsin(2/10/2012)
RR
Wyoming(2/10/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
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Contact information
Main Address
801 Grand Ave, Des Moines, IA 50392-0001
Mailing Address
711 High Street, Des Moines, IA 50392-0001
Phone number
(800) 787-1621
Established
Firm type
Fiscal year end
# of Employees
1,350
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
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.
