Kofi S. Coaxum

CETERA INVESTMENT ADVISERS LLC

Atlanta, GA 30339

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CRD#: 5150018

Professional summary

Kofi Sule Coaxum is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.

Kofi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kofi has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 4 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.

(1) NAME OF OTHER BUSINESS: BUBBLING CREEK RENOVATIONS LLC INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: REAL ESTATE START DATE: 09/2020 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: HOME RENOVATIONS AND SALES ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kofi Sule Coaxum'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

March 23, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

RIA

CRD#: 105644

Atlanta, GA

Current

March 22, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339Office #2: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 13572

Atlanta, GA

Past

November 29, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ATLANTA, GA

Past

March 27, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Orlando, FL

Past

July 12, 2010 - March 20, 2017

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

ALPHARETTA, GA

Past

May 5, 2010 - March 20, 2017

FSC SECURITIES CORPORATION

CRD#: 7461

ALPHARETTA, GA

Past

February 13, 2009 - September 3, 2009

THOMAS GROUP CAPITAL

CRD#: 112901

ATLANTA, GA

Past

February 7, 2007 - January 7, 2008

OPUS TRADING FUND LLC

CRD#: 125204

JERICHO, 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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

California
(1/4/2019)

Georgia
(3/22/2017)

IAR

Georgia
(3/23/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/15/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/16/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/13/2013

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/24/2012

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Kofi S. Coaxum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kofi Sule Coaxum's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CETERA WEALTH SERVICES, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

THOMAS GROUP CAPITAL

OPUS TRADING FUND LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2010

Series 63

Date: 2/16/2007

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/6/2007

Series 53

Date: 3/13/2013

Series 24

Date: 9/14/2012

Series 4

Date: 5/24/2012

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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