David Cole, financial advisor Memphis TN
48 score

David Cole

CRD Number: 1787207
Current Firm: Wunderlich Securities, Inc.

David Cole (CRD# 1787207) is an Investment Advisor Representative working at Wunderlich Securities, Inc. in Memphis, TN and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
Wunderlich Securities Memphis, TN Nov 2008 - Current 8
Wachovia Securities, LLC Memphis, TN Jul 2003 - Nov 2008 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1993
S65 NASAA Investment Advisors Law Examination Aug 2007
Disclosure Information

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:
  • Employer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for David K. Cole
Phone Number: 901-251-1330
Registered State(s):
  • FL
  • TN
By the Numbers
  • Total Assets Under Management
    1,489
    MILLIONS
  • Total Number of Accounts
    4,309
    ACCOUNTS
  • Average Account Value
    $345,582
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
48

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