Serena Cole, financial advisor Purchase NY
81 score

Serena Cole

CRD Number: 5559625
Current Firm: Principal Securities, Inc.

Serena Cole (CRD# 5559625) is an Investment Advisor Representative working at Principal Securities, Inc. in Purchase, NY and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Principal Life Insurance Purchase, NY Jan 2016 - Current < 1
Princor Financial Services Purchase, NY Jan 2016 - Current < 1
Fidelity Investments Stamford, CT Mar 2010 - Jan 2016 5
David G. Cotton Attorney At Law Whitstone, NY Aug 2009 - Mar 2010 < 1
Pruco Securities LLC White Plains, NY Jun 2008 - Aug 2009 1
Unemployed Pelham, NY Apr 2008 - Jun 2008 < 1
Gds Publishing New York, NY Aug 2007 - Apr 2008 < 1
Executive Cleaning Huntington, NY Oct 2006 - Aug 2007 < 1
Pitney Bowes Whitestone, NY Feb 2006 - Oct 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2008
S65 NASAA Investment Advisors Law Examination Nov 2011
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Serena M. Cole
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
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, VT, WA, WI, WV

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BADGES
81

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