Kristian J. Coffey

CETERA INVESTMENT ADVISERS LLC

WOBURN, MA 01801

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CRD#: 3127488

Professional summary

Kristian John Coffey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woburn, Massachusetts and CETERA ADVISORS LLC located in Woburn, Massachusetts.

Kristian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kristian has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. NAME OF OTHER BUSINESS: LEGACY WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: 100 TRADE CENTER SUITE 705, WOBORN, MA, 01801, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 4/2022, POSITION/TITLE/RELATIONSHIP: CO-OWNER (50%), APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristian John Coffey'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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 100 Trade Center Ste 705, Woburn, MA 01801

RIA

CRD#: 105644

WOBURN, MA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 100 Trade Center Ste 705, Woburn, MA 01801

CRD#: 10299

Woburn, MA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

August 18, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

WOBURN, MA

Past

August 14, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

WOBURN, MA

Past

July 29, 2005 - August 17, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

WAKEFIELD, MA

Past

July 21, 2005 - August 17, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WAKEFIELD, MA

Past

March 8, 1999 - October 14, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 8, 1999 - October 14, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

October 14, 1998 - February 22, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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
(10/3/2016)

Connecticut
(1/2/2025)

Florida
(10/4/2016)

Indiana
(9/11/2017)

Maine
(4/29/2020)

Maryland
(8/26/2025)

Massachusetts
(10/3/2016)

IAR

Massachusetts
(3/21/2024)

New Hampshire
(10/3/2016)

IAR

New Hampshire
(3/21/2024)

New Jersey
(5/28/2020)

New York
(10/3/2016)

Oregon
(2/2/2023)

South Carolina
(10/3/2016)

Utah
(11/25/2024)

Vermont
(10/3/2016)

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

IAR

Series 66

Date: 7/27/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/21/1998

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: 7/20/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/8/1998

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)

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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.

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Advisor Monitoring

Firm Stability Insights

Kristian J. Coffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristian John Coffey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/27/2005

Series 63

Date: 10/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2005

Series 6

Date: 10/8/1998

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

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