Kerrie Coe: Regions Bank Advisor Received Structured Product Complaint

A recent, denied investor complaint against Indianapolis financial advisor Kerrie Coe (CRD# 4951159) alleged that she provided poor advice. Financial Industry Regulatory Authority records show that she is a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisors, operating as a representative of Regions Bank.

Ms. Coe’s BrokerCheck report discloses one investor complaint. Filed in November 2023, it alleges that as a representative of Cetera Investment Services, she made a poor recommendation regarding a structured product investment. The complaint alleged unspecified damages and was denied by the firm.

In a statement included with the complaint’s disclosure, Ms. Coe defended herself against the allegations. “The Advice given at the time was sound advice and well received by the staff,” she wrote. “With a low interest rate environment the staff and myself looked at options to best grow the funds.”

A second disclosure Ms. Coe’s BrokerCheck report concerns her termination from JP Morgan Securities. Filed in 2013, it states that the firm fired her in connection with allegations that she “facilitated an advance on a client HELOC [home equity line of credit] without client authorization.”

The website for Regions Bank, a marketing name of Cetera Investment Services, includes a profile of Ms. Coe. “Kerrie Coe will not only focus on solutions for your immediate needs, but also help you develop a comprehensive strategy to meet your long-term financial goals,” it states. “My aim is to help you get to where you want to go and make your journey toward financial success as easy as possible.”

According to the Financial Industry Regulatory Authority, Kerrie Coe holds 18 years of securities industry experience. Based in Indianapolis, Indiana, she has been a broker and an investment advisor with Cetera since 2013 and 2014, respectively. Her past registrations include JP Morgan Securities (Indianapolis, Indiana; 2012-2013), Chase Investment Services Corporation (Indianapolis, Indiana; 2005-2012), and Banc One Securities Corporation (Chicago, Illinois; 2005). Her credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in Alabama, Florida, Illinois, Indiana, Kentucky, Mississippi, Ohio, Pennsylvania, and South Carolina. (Information current as of January 6, 2024.)

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