Kristian John Coffey

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-11-23
MA	RA	APPROVED	2024-03-21
NH	RA	APPROVED	2024-03-21

TX RA
APPROVED_RES

Since 2025-11-23
MA RA
APPROVED

Since 2024-03-21
NH RA
APPROVED

Since 2024-03-21

Branch Locations

Salem, NH • United States

100 Trade Center Ste 705, Woburn, MA 01801 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Investors Capital Corp.	Lynnfield	MA	08/2009	10/2016
Cetera Advisors Llc	Denver	CO	10/2016	Present
Legacy Wealth Management	Woborn	MA	04/2022	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

08/2009 → 10/2016

Investors Capital Corp.

Lynnfield, MA
10/2016 → Present

Cetera Advisors Llc

Denver, CO
04/2022 → Present

Legacy Wealth Management

Woborn, MA
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2009-08-18 → 2016-10-03

Investors Capital Corp.

Lynnfield, MA

Woburn, MA

Lynnfield, MA

Lynnfield, MA
2005-07-29 → 2009-08-17

Banc Of America Investment Services, Inc.

Wakefield, MA

Belmont, MA

Cambridge, MA

Wakefield, MA

Somerville, MA

Other Businesses

1. NAME OF OTHER BUSINESS: LEGACY WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: 100 TRADE CENTER SUITE 705, WOBORN, MA, 01801, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 4/2022, POSITION/TITLE/RELATIONSHIP: CO-OWNER (50%), APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-07-27
S63	Uniform Securities Agent State Law Examination	1998-10-21

S66 Uniform Combined State Law Examination

2005-07-27
S63 Uniform Securities Agent State Law Examination

1998-10-21

Other Names

Kristian John Coffey

View on SEC IAPD