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OC

Octavia K. Coleman

ALIGHT FINANCIAL SOLUTIONS
CHARLOTTE, NC 28269
Some features on this profile are disabled
CRD#: 4392070
OC

Professional summary

Octavia Katrina Coleman, who also goes by Octavia Katrina Coleman, Octavia Coleman, is a registered financial professional currently at ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Octavia is registered as a RR (Registered Representative) and started their career in finance in 2001. Octavia has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Octavia Katrina Coleman | Octavia Coleman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Octavia Katrina Coleman'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

August 29, 2024 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269
BD
CRD#: 36509
CHARLOTTE, NC
Past

March 24, 2021 - October 18, 2023

SS&C MARKET SERVICES, LLC

BD
CRD#: 23568
BOSTON, MA
Past

June 30, 2015 - October 1, 2020

MISSIONSQUARE INVESTMENT SERVICES

BD
CRD#: 23189
Richmond, VA
Past

June 4, 2004 - May 24, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

June 4, 2004 - May 24, 2005

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 1, 2003 - March 5, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

August 21, 2001 - July 1, 2003

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA

State Registrations and Notice Filings

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

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
District of Columbia
(8/29/2024)
RR
North Carolina
(8/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/30/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALIGHT FINANCIAL SOLUTIONS, LLC
ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC

CRD#: 36509 / SEC#: , 8-47344

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
320 South Canal Street 50th Floor, Chicago, IL 60606
Mailing Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Phone number
(224) 737-7000
Established
Illinois since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALIGHT SOLUTIONS, LLCOWNER
CHOTKOWSKI, MATTHEW ADAMCHIEF COMPLIANCE OFFICER5233117
FRITZ, JEREMY JASONDIRECTOR OF BROKERAGE AND PERSONAL FINANCE SERVICES/COO3261871
KEITH, DOUGLAS SCOTTCHIEF FINANCIAL OFFICER5190086

Disclosures

Regulatory Event2
Arbitration2

Red Flags

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Company Information

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509Charlotte, NC 28269

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