Michael N. Coppa
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.
Michael Nicholas Coppa, who also goes by Michael Nicholas Coppa, Michael Coppa, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2023 - April 9, 2025
CCS TRANSACTIONS, LLC
October 4, 2019 - May 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2007 - November 16, 2007
WELLS FARGO SECURITIES, LLC
January 1, 2006 - April 30, 2007
EVP SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 10/4/2019
Investment Banking Registered Representative ExaminationCurrent Firm
CCS TRANSACTIONS, LLC
CRD#: 149901 / SEC#: , 8-68203
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
