John P. Coleman

PIEDMONT WEALTH MANAGEMENT

Fredericksburg, VA 22401

Some features on this profile are disabled

CRD#: 4829632

Professional summary

John Philip Coleman is a registered financial advisor currently at PIEDMONT WEALTH MANAGEMENT located in Fredericksburg, Virginia.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. John has worked at 3 firms and has passed the Series 65, Series 63 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.

NAME: COMMONWEALTH BUSINESS SERVICES INV REL: Y ADD: 608 WESTWOOD OFFICE PARK, FREDERICKSBURG, VA 22401 AND 500 MONTGOMERY STREET SUITE 400 ALEXANDRIA, VA 22314 NATURE: CPA/TAX PREPARATION POSITION: OWNER START DATE: 02/14/2004 NO. HR/MO: 400 NO. HR/MO DURING SEC TRADING: 160

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Philip 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

September 6, 2016 - Present

PIEDMONT WEALTH MANAGEMENT

Office #1: 608 Westwood Office Park, Fredericksburg, VA 22401

RIA

CRD#: 155899

Fredericksburg, VA

Past

January 21, 2010 - July 1, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

GLEN ALLEN, VA

Past

January 3, 2008 - December 31, 2008

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

August 24, 2004 - December 31, 2007

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

PIEDMONT WEALTH MANAGEMENT

MULLINS INVESTMENT SERVICES, LLC | PIEDMONT WEALTH MANAGEMENT

CRD#: 155899 / SEC#: 801-129622

RIA

Registered Investment Advisory firm - (2/29/2024 Approved)

Maryland

Registered Investment Advisory firm - (3/7/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2024 Terminated)

Virginia

Registered Investment Advisory firm - (3/12/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(12/2/2016)

IAR

Virginia
(9/6/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/6/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/23/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PIEDMONT WEALTH MANAGEMENT

MULLINS INVESTMENT SERVICES, LLC | PIEDMONT WEALTH MANAGEMENT

CRD#: 155899 / SEC#: 801-129622

RIA

Registered Investment Advisory firm - (2/29/2024 Approved)

Maryland

Registered Investment Advisory firm - (3/7/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2024 Terminated)

Virginia

Registered Investment Advisory firm - (3/12/2024 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

131 W. Davis Street, Culpeper, VA 22701

Mailing Address

Phone number

(540) 317-5372

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 013025 (1/30/2025)

Regulatory assets under management

Total Number of Accounts	500
AUM (Assets Under Management)	$ 128,434,865

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

Thomas Sullivan

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Fredericksburg, VA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John P. Coleman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Philip Coleman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIEDMONT WEALTH MANAGEMENT

MML INVESTORS SERVICES, LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

PIEDMONT WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2016

Series 63

Date: 8/27/2004

Series 6

Date: 8/23/2004

Current Firm

PIEDMONT WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PIEDMONT WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors