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TC

Tracy B. Coffman

COPPELL ADVISORY SOLUTIONS LLC
Austin, TX 78759
Some features on this profile are disabled
CRD#: 5300051
TC

Professional summary

Tracy B Coffman is a registered financial advisor currently at COPPELL ADVISORY SOLUTIONS LLC located in Austin, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Austin, Texas.

Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Tracy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy B Coffman'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 5, 2023 - Present

COPPELL ADVISORY SOLUTIONS LLC

Office #1: 4131 Spicewood Springs Rd. Suite B-1, Austin, TX 78759
RIA
CRD#: 156549
Austin, TX
Current

December 7, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 4131 Spicewood Springs Blvd Bldg B-1, Austin, TX 78759
BD
CRD#: 35747
Austin, TX
Past

November 26, 2012 - December 21, 2022

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
AUSTIN, TX
Past

November 2, 2012 - December 21, 2022

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
AUSTIN, TX
Past

October 27, 2010 - November 21, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
AUSTIN, TX
Past

October 27, 2010 - November 21, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
AUSTIN, TX
Past

October 11, 2007 - October 28, 2010

PLANMEMBER SECURITIES CORPORATION

RIA
CRD#: 11869
AUSTIN, TX
Past

May 16, 2007 - October 28, 2010

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
AUSTIN, TX

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".
CA
COPPELL ADVISORY SOLUTIONS LLC
C&N WEALTH MANAGEMENT | MACH 1 FINANCIAL GROUP | IAMS WEALTH MANAGEMENT | FUSION INVESTMENT ADVISORS, LLC | FUSION INVESTMENT ADVISORS LLC | FUSION INVESTMENT ADVISORS | FUSION CAPITAL MANAGEMENT | ELITE INVESTMENT TEAM LLC | COPPELL ADVISORY SOLUTIONS, LLC | COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA
Registered Investment Advisory firm - (2/28/2011 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.
RR
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

RR
Arkansas
(12/7/2022)
RR
Colorado
(12/7/2022)
RR
Florida
(12/7/2022)
RR
Kansas
(12/7/2022)
RR
New Hampshire
(12/7/2022)
RR
Texas
(12/7/2022)
IAR
Texas
(1/5/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/10/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/15/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CA
COPPELL ADVISORY SOLUTIONS LLC
C&N WEALTH MANAGEMENT | MACH 1 FINANCIAL GROUP | IAMS WEALTH MANAGEMENT | FUSION INVESTMENT ADVISORS, LLC | FUSION INVESTMENT ADVISORS LLC | FUSION INVESTMENT ADVISORS | FUSION CAPITAL MANAGEMENT | ELITE INVESTMENT TEAM LLC | COPPELL ADVISORY SOLUTIONS, LLC | COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA
Registered Investment Advisory firm - (2/28/2011 Approved)
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Contact information

Main Address
9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019
Mailing Address
Phone number
(817) 888-8020
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FUSION FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts9,334
AUM (Assets Under Management)$ 1,077,958,560

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.

Company Information

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549Austin, TX 78759

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