Douglas C. Coppola

CROWN WEALTH GROUP LLC

Pittsboro, NC

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CRD#: 834198

Professional summary

Douglas Charles Coppola is a registered financial advisor currently at CROWN WEALTH GROUP LLC located in Pittsboro, North Carolina.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Douglas has worked at 14 firms and has passed the Series 63, Series 3, Series 5, PC, Series 7, Series 8, Series 10 and Series 9 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.

REAL ESTATE: 07/16/2007: HATTERAS, NC: 50% OWNER OF A SUMMER RENTAL PROPERTY. 1 HR. WEEKLY, 0 HRS. DURING TRADING HOURS. Consultant; Investment Consulting; Investment Related: Yes; 50 Saxapahaw Run Chapel Hill NC 27516 USA;Description of the business: There's a Swiss company that Doug has a friend at and they call him for investment ideas. Sometimes they use them, sometimes they don't. They pay him consulting fees for his time.; Responsibilities Duties: There's a Swiss company that Doug has a friend at and they call him for investment ideas. Sometimes they use them, sometimes they don't. They pay him consulting fees for his time.; Start date with business: 2022-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 3

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Charles 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

October 1, 2019 - Present

CROWN WEALTH GROUP LLC

RIA

CRD#: 299732

Pittsboro, NC

Past

November 11, 2013 - September 29, 2014

CORINTHIAN PARTNERS, L.L.C.

CRD#: 38912

NEW YORK, NY

Past

November 1, 2011 - October 1, 2019

CLIENT FIRST ADVISORS, LLC

RIA

CRD#: 159254

MOUNT PLEASANT, SC

Past

January 12, 2009 - November 3, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CHAPEL HILL, NC

Past

May 20, 2005 - January 12, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CHAPEL HILL, NC

Past

May 20, 2005 - November 3, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CHAPEL HILL, NC

Past

June 4, 2004 - February 8, 2005

BEAR WAGNER SPECIALISTS LLC

CRD#: 32691

NEW YORK, NY

Past

October 11, 2002 - May 13, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FLORHAM PARK , NJ

Past

January 22, 2001 - May 13, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 6, 1998 - January 29, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

August 2, 1995 - May 18, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 11, 1993 - August 7, 1995

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

July 25, 1988 - January 18, 1991

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

June 1, 1984 - May 10, 1988

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

Past

February 27, 1980 - June 13, 1984

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

March 16, 1979 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

CRD#: 5203

Past

March 1, 1977 - January 16, 1978

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

CROWN WEALTH GROUP LLC

CRD#: 299732 / SEC#: 801-120589

RIA

Registered Investment Advisory firm - (3/24/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/7/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (4/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/6/2021 Terminated)

Virginia

Registered Investment Advisory firm - (4/7/2021 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

North Carolina
(10/1/2019)

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

Series 63

Date: 1/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/19/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 7/17/1982

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 7/27/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 2/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/20/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 10

Date: 10/20/1988

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/20/1988

General Securities Sales Supervisor - Options Module Examination

Current Firm

CROWN WEALTH GROUP LLC

CRD#: 299732 / SEC#: 801-120589

RIA

Registered Investment Advisory firm - (3/24/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/7/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (4/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/6/2021 Terminated)

Virginia

Registered Investment Advisory firm - (4/7/2021 Terminated)

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Contact information

Main Address

2108 South Boulevard Unit 300, Charlotte, NC 28203

Mailing Address

Phone number

(704) 360-3995

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-CROWN WEALTH GROUP LLC (6/5/2025)

Regulatory assets under management

Total Number of Accounts	949
AUM (Assets Under Management)	$ 316,523,852

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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Advisor Monitoring

Firm Stability Insights

Douglas C. Coppola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Charles Coppola's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORINTHIAN PARTNERS, L.L.C.

CLIENT FIRST ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BEAR WAGNER SPECIALISTS LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

ALEX. BROWN & SONS INCORPORATED

NATIONAL FINANCIAL SERVICES LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO., INCORPORATED

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

CROWN WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/1993

Series 3

Date: 11/19/1983

Series 5

Date: 7/17/1982

PC

Date: 7/27/1977

Series 7

Date: 2/19/1977

Series 8

Date: 10/20/1988

Series 10

Date: 10/20/1988

Series 9

Date: 10/20/1988

Current Firm

CROWN WEALTH GROUP LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CROWN WEALTH GROUP LLC

TRUST BUT VERIFY

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