Unclaimed Profile

Mark David Coffey

HICKORY FINANCIAL GROUP, LLC·HICKORY, North Carolina

SIE, Series 4, Series 7, Series 24, Series 63, Series 6524 years registeredHICKORY FINANCIAL GROUP, LLC

2017 N. CENTER STREET, HICKORY, NC 28601CRD# 2400035Firm CRD# 306201

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark David Coffey · HICKORY, NC

Registration

CRD #2400035 · HICKORY FINANCIAL GROUP, LLC · 24 years registered

Brand Profile

Not yet started

Career History

HICKORY FINANCIAL GROUP, LLC

Sep 2020 – present

HICKORY FINANCIAL GROUP, LLC

Dec 2019 – Sep 2020

HICKORY, NC

AVENIR PRIVATE ADVISORS, LLC

Nov 2018 – Jan 2020

Hickory, NC

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Nov 2012 – Nov 2018

HICKORY, NC

CAPITOL SECURITIES MANAGEMENT, INC.

Mar 2007 – Nov 2012

HICKORY, NC

ANDERSON & STRUDWICK, INCORPORATED

Apr 2005 – Mar 2007

HICKORY, NC

A&S CAPITAL ADVISORS, INC.

Jun 2004 – Apr 2005

HICKORY, NC

UBS FINANCIAL SERVICES INC.

Dec 2001 – Feb 2004

HICKORY, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · December 31, 2001

Years registered · 24

Disclosure History

2019Employment Separation After Allegations

2000Customer Dispute·Denied

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

HICKORY FINANCIAL GROUP, LLC

CRD 306201 · SEC 801-117740

AUM

$5M

Regulatory assets under management

Employees

30 client accounts

Services offered by HICKORY FINANCIAL GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HICKORY FINANCIAL GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Mark David Coffey offer?

Mark David Coffey specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in HICKORY, North Carolina for a consultation.

What are Mark David Coffey's credentials?

Mark David Coffey is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark David Coffey located?

Mark David Coffey is based in HICKORY, North Carolina, working with HICKORY FINANCIAL GROUP, LLC. Their office serves clients in the HICKORY metropolitan area and surrounding communities.

How does Mark David Coffey charge for services?

Mark David Coffey's firm is compensated through percentage of aum, hourly charges, other: fees shared with third party advisors. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HICKORY FINANCIAL GROUP, LLC?

HICKORY FINANCIAL GROUP, LLC has approximately 1 employees and manages $5M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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