Douglas ColeCRD Number: 1037963
Current Firm: Cetera Advisors LLC
Douglas Cole (CRD# 1037963) is an Investment Advisor Representative working at Cetera Advisors LLC in Glendale, AZ and has over 18 years of experience in the finance industry.
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
Barnes Investment Advisory Inc.
|Cetera Advisors||Denver, CO||Jul 2014 - Current||2|
|Wilde Wealth Management||Scottsdale, AZ||May 2014 - Current||2|
|Wealth Management International, Ltd.||Peoria, AZ||Mar 2010 - May 2014||4|
|The Planners Network, Inc.||Peoria, AZ||Apr 2009 - Jul 2010||1|
|National Planning Corporation||Phoenix, AZ||Jan 2009 - Apr 2010||1|
|Aig Financial Advisors, Inc.||Phoenix, AZ||Oct 2005 - Dec 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 2014|
|S65||NASAA Investment Advisors Law Examination||Sep 1998|
|S66||NASAA Uniform Combined State Law Examination||Feb 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Judgments / Liens
Total Assets Under Management9,424MILLIONS
Total Number of Accounts47,356ACCOUNTS
Average Account Value$199,001
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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