A. Ronald Koplan

KOPLAN & ASSOCIATES

Chattanooga, TN 37421

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CRD#: 5283768

Professional summary

A. Ronald Koplan is a registered financial advisor currently at KOPLAN & ASSOCIATES located in Chattanooga, Tennessee.

A. Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. A. Ronald has worked at 1 firm and has passed the Series 65 exam.

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.

KOPLAN & ASSOCIATES IS A CERTIFIED PUBLIC ACCOUNTING FIRM PROVIDING TAX, ACCOUNTING & BUSINESS CONSULTING SERVICES AS WELL AS INVESTMENT RELATED ACTIVITY. THE ADDRESS, TITLE AND OTHER INFORMATION IS THE SAME AS ALREADY PROVIDED. R & A Properties, LLC-P.O. Box 28408, Chattanooga, TN 37424-8408-member since 1/1/2014-investment related-manage office space rentals-4 hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view A. Ronald Koplan's 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

May 30, 2007 - Present

KOPLAN & ASSOCIATES

Office #1: 7522 East Brainerd Road, Chattanooga, TN 37421

RIA

CRD#: 143042

Chattanooga, TN

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

Tennessee
(5/30/2007)

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: 11/28/2006

Uniform Investment Adviser Law Examination

Current Firm

KOPLAN & ASSOCIATES

GUARDIAN INVESTMENT & ACCOUNTING SERVICES LLC | KOPLAN, ALVIN RONALD | KOPLAN & ASSOCIATES LLC | KOPLAN & ASSOCIATES

CRD#: 143042 / SEC#:

Tennessee

Registered Investment Advisory firm - (5/26/2007 Approved)

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Contact information

Main Address

7522 East Brainerd Road, Chattanooga, TN 37421

Mailing Address

Po Box 28408, Chattanooga, TN 37424-8408

Phone number

(423) 892-4693

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 6,115,065

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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A. Ronald Koplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view A. Ronald Koplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOPLAN & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 11/28/2006

Current Firm

KOPLAN & ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KOPLAN & ASSOCIATES

TRUST BUT VERIFY

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