Brett A. Coffman
Some features on this profile are disabled
CRD#: 3134778
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.
Brett Alan Coffman, CFP® was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1998. Brett had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Biography
As a Family Firm Institute Fellow, Brett brings over two decades of experience in financial, business and wealth advising. Through a comprehensive planning process, he specializes in helping families protect and transition their business value, preserve and grow wealth, and preserve family harmony, focusing on clients most important goals and hopes. As a fee-only advisor he is objective and has the best interest of his clients at heart.?
Previously, as a Senior Vice President at BB&T, he created the foundation of the platform for providing business advisory services and worked in advisory work for several boutique fee-only firms. In those roles, he helped affluent and ultra-affluent clients determine how they would retire, transition their business interests, and transition assets to the next generation, while minimizing taxes and protecting family members from unforeseen events.
Brett earned a B.S. in Economics from the University of Utah, a Master of Business Administration (MBA) from Syracuse University, a Certificate in Personal Financial Planning from New York University, an Advanced Certificate in Family Business Advising from the Family Firm Institute and is a Cannon Trust School graduate. He has passed a rigorous IRS administered tax exam, earning the designation Enrolled Agent (EA) and as a result is eligible to represent clients before the IRS. In addition, he earned a Ph.D. in Personal Financial Planning from Kansas State University, with a focus on family business dynamics and succession preparedness. He has been an Adjunct University Professor, published in several professional publications, including the Journal of Financial Planning, is a reviewer for several academic journals, and has been quoted in regional and national media. He is a member of the Financial Therapy Association, Family Firm Institute, and the Estate Planning Council of Charlotte.
Question & Answer
What are your service offerings?
Insurance Planning
Retirement Planning
Business Succession Planning
Retirement Income Management
Estate Planning
Investment Planning
Comprehensive Financial Planni...
Tax Planning
Employee and Employer Plan Ben...
Do you have an area of expertise or specialization?
Estate & Generational Planning...
Financial Psychology/Coaching
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Special Needs Planning
Tax Planning
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
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®
CFP®
Start date: 2001
Experience
Past
March 24, 2023 - May 9, 2023
ALPHA FINANCIAL ADVISORS, LLC
RIA
CRD#: 122545
CHARLOTTE, NC
Past
May 10, 2021 - March 16, 2023
RESILIENCE WEALTH ADVISORS
RIA
CRD#: 314166
CHARLOTTE, NC
Past
August 9, 2007 - November 10, 2010
BB&T ASSET MANAGEMENT, INC.
RIA
CRD#: 108443
CHARLOTTE, NC
Past
April 23, 2004 - September 5, 2007
MATRIX WEALTH ADVISORS, INC.
RIA
CRD#: 109873
CHARLOTTE, NC
Past
June 18, 2003 - December 31, 2003
TITTMANN & RUSCH, LLC
RIA
CRD#: 115054
AVON, CT
Past
April 20, 2001 - July 25, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 20, 2001 - July 25, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
July 28, 2000 - April 2, 2001
LIGHTHOUSE SECURITIES, LTD.
BD
CRD#: 16241
HARTFORD, CT
Past
October 20, 1998 - July 2, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
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".
AF
ALPHA FINANCIAL ADVISORS, LLC
ALPHA FINANCIAL ADVISORS, LLC
CRD#: 122545 / SEC#: 801-79666
RIA
Registered Investment Advisory firm - (5/6/2014 Approved)Florida
Registered Investment Advisory firm - (5/12/2014 Terminated)North Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)South Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)Texas
Registered Investment Advisory firm - (5/12/2014 Terminated)Virginia
Registered Investment Advisory firm - (9/4/2007 Terminated)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AF
ALPHA FINANCIAL ADVISORS, LLC
ALPHA FINANCIAL ADVISORS, LLC
CRD#: 122545 / SEC#: 801-79666
RIA
Registered Investment Advisory firm - (5/6/2014 Approved)Florida
Registered Investment Advisory firm - (5/12/2014 Terminated)North Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)South Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)Texas
Registered Investment Advisory firm - (5/12/2014 Terminated)Virginia
Registered Investment Advisory firm - (9/4/2007 Terminated)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
11325 N Community House Rd Suite #410, Charlotte, NC 28277-0524
Mailing Address
Phone number
(704) 716-1100
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,473 |
| AUM (Assets Under Management) | $ 503,100,285 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 12/20/2023 | ||
| 01/28/2023 |
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.
