Katharine E. Coppola

FIRST ADVISORS NATIONAL

Milfiord, CT 06460

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CRD#: 5093846

Professional summary

Katharine Elizabeth Coppola is a registered financial advisor currently at FIRST ADVISORS NATIONAL, LLC located in Milfiord, Connecticut.

Katharine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Katharine has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

Noble Insurance Marketing, Yes, Insurance and Annuities, Barrington, IL, Insurance and Annuities, Licensed Insurance Agent, 20 hrs/week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katharine Elizabeth Coppola'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

January 15, 2016 - Present

FIRST ADVISORS NATIONAL, LLC

Office #1: 27 Richard St, Milfiord, CT 06460

RIA

CRD#: 166212

Milfiord, CT

Past

April 26, 2010 - August 11, 2015

JEFFERSON NATIONAL SECURITIES CORPORATION

CRD#: 47582

COLUMBUS, OH

Past

September 18, 2006 - March 19, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW HAVEN, CT

Past

August 7, 2006 - March 19, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW HAVEN, CT

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".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 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

Connecticut
(1/15/2016)

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 66

Date: 9/15/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2006

General Securities Representative Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

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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Katharine E. Coppola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katharine Elizabeth Coppola's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ADVISORS NATIONAL, LLC

JEFFERSON NATIONAL SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2006

SIE

Date: 8/11/2015

Series 7

Date: 8/4/2006

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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