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9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-05 |
Branch Locations
9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019 • United States
4131 Spicewood Springs Rd. Suite B-1, Austin, TX 78759 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 11/2012 | 10/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2012 | 10/2022 |
| Coffman Financial | Austin | TX | 10/2012 | 11/2022 |
| Purshe Kaplan Sterling Investments | Albany | NY | 12/2022 | Present |
| Fusion Capital Mgt. D/B/A Tracy Coffman Financial | Austin | TX | 12/2022 | Present |
1) Fusion Capital Management d/b/a Tracy Coffman Financial. Investment related. At Registered Location. RIA. Investment Advisor. Start Date: 09/2022. 10 hrs/mo; 30 hrs during trading hours. Assist client on the AUM or charge an advisory fee to help manage the Assets Under Management investments 2) BNI. NO. 1502 RR 620 SOUTH, LAKEWAY, TX, 78734. BUSINESS NETWORKING. Director. Start Date: 10/2018. 12hrs/ month; all during trading hours. UPDATE LEADERSHIP TEAM WHEN NEEDED ON TEXAS SECRETARY OF STATE; 3) Fixed Insurance. Investment Related. At Registered Location. Fixed Insurance. Producer. Start Date: 09/2022. 10 hrs/mo; 30hrs during trading hours. Provided fixed insurance to prospects and clients 4) PKS Financial. Investment related. 80 State St., Albany, NY 12207. Investments. Registered Representative. Start Date: 09/2022. 10 hrs/mo; 30 hrs during trading. Providing securities 5) VFO-Austin. Investment related. At Registered Location. Form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction. Project leader. Start Date: 09/2022. 10 hrs/mo; 30 hrs during trading. Through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 2007-06-04 |
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