Ellen E. Coppinger

CETERA INVESTMENT ADVISERS LLC

OAK RIDGE, TN 37830

Some features on this profile are disabled

CRD#: 2711753

Professional summary

Ellen E Coppinger, CFP®, who also goes by Allen E Coppinger, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oak Ridge, Tennessee and CETERA INVESTMENT SERVICES LLC located in Oak Ridge, Tennessee.

Ellen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ellen has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allen E Coppinger

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. FALL HARVEST FARMS INC, 50% OWNER WITH HUSBAND OTHER 50% OWNER, SECRETARY, ORDERING, PAYROLL, TAXES AND RUN THE STORE ON WEEKENDS, 10HRS/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellen E Coppinger's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

October 18, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 501 Lafayette Drive, Oak Ridge, TN 37830

RIA

CRD#: 105644

OAK RIDGE, TN

Current

October 17, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 501 Lafayette Drive, Oak Ridge, TN 37830Office #2: 2901 Old Knoxville Highway, Maryville, TN 37804Office #3: 1715 Roane State Hwy, Harriman, TN 37748Office #4: 1203 Dolly Parton Pkwy, Sevierville, TN 37862Office #5: 624 W Lamar Alexander Parkway, Maryville, TN 37801Office #6: 1820 Cumberland Ave, Middlesboro, KY 40965Office #7: 815 East Lothbury, Middlesboro, KY 40965Office #8: 101 Virginia Ave, Pineville, KY 40977Office #9: 502 South Broad St, New Tazewell, TN 37824Office #10: 1048 W. Hwy 92, Williamsburg, KY 40769Office #11: 400 S. Main St., London, KY 40741Office #12: 3620 Walden Dr. Suite 100, Lexington, KY 40517

CRD#: 15340

Oak Ridge, TN

Past

March 8, 2017 - October 18, 2017

PFG ADVISORS

RIA

CRD#: 173344

Oak Ridge, TN

Past

January 20, 2017 - October 17, 2017

LPL FINANCIAL LLC

CRD#: 6413

OAK RIDGE, TN

Past

March 11, 2011 - January 25, 2017

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

OAK RIDGE, TN

Past

March 11, 2011 - January 25, 2017

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

OAK RIDGE, TN

Past

April 21, 2010 - March 3, 2011

QUALITY FINANCIAL CONCEPTS

RIA

CRD#: 118886

MARYVILLE, TN

Past

December 8, 2009 - February 11, 2011

FOOTHILL SECURITIES, INC.

CRD#: 1027

MARYVILLE, TN

Past

August 31, 1999 - April 6, 2009

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MARYVILLE, TN

Past

February 1, 1997 - July 8, 1999

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 4, 1996 - February 1, 1997

AMERISTAR CAPITAL MARKETS, INC.

CRD#: 17068

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

California
(5/19/2023)

Florida
(10/7/2021)

Idaho
(3/7/2025)

Indiana
(1/7/2022)

Kentucky
(2/10/2025)

Michigan
(6/27/2025)

New York
(3/27/2025)

North Carolina
(5/1/2023)

Ohio
(11/4/2022)

South Carolina
(8/8/2023)

Tennessee
(10/17/2017)

IAR

Tennessee
(10/18/2017)

Virginia
(4/12/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/12/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/1/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

David Carrow

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Rochester, MN

Nelson Secretario

REDWOOD PRIVATE WEALTH

PHOENIX, AZ

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ellen E. Coppinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellen E Coppinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PFG ADVISORS

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

QUALITY FINANCIAL CONCEPTS

FOOTHILL SECURITIES, INC.

FIRST HORIZON ADVISORS, INC.

INVEST FINANCIAL CORPORATION

AMERISTAR CAPITAL MARKETS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/18/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/12/2002

Series 6

Date: 3/1/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors