Eric C. Coulter
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.
Eric Charles Coulter, CFP® was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2007. Eric had worked at 8 firms and has passed the Series 66, 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
May 24, 2011 - July 23, 2015
AVANTAX ADVISORY SERVICES
March 25, 2011 - July 23, 2015
AVANTAX INVESTMENT SERVICES, INC.
August 17, 2009 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
June 29, 2009 - January 26, 2010
COMPASS FINANCIAL ADVISORS LLC
March 26, 2009 - August 14, 2009
FINTEGRA, LLC
December 5, 2007 - March 2, 2009
KINDRED WEALTH MANAGEMENT, LLC
April 11, 2007 - April 2, 2009
1ST GLOBAL ADVISORS INC
February 21, 2007 - April 2, 2009
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
