William Cole, financial advisor Tysons VA
84 score

William Cole

CRD Number: 1348133
Current Firm: Charles Schwab & Company, Inc.

William Cole (CRD# 1348133) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Tysons, VA and has over 26 years of experience in the finance industry. William Cole has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Finra Washington, DC Jul 2017 - Current < 1
Charles Schwab & Company, Inc. Alexandria, VA Jul 2017 - Current < 1
Charles Schwab Bank Alexandria, VA Jul 2017 - Current < 1
Burke & Herbert Bank Alexandria, VA Jan 2014 - Jul 2017 3
Lpl Financial LLC Alexandria, VA Jan 2014 - Mar 2017 3
Td Ameritrade Baltimore, MD Oct 2013 - Jan 2014 < 1
Bb&t Investment Services, Inc. Alexandria, VA Jan 2013 - Oct 2013 < 1
Pnc Investments Pittsburgh, PA Aug 2009 - Dec 2012 3
Unemployed Cornelius, NC Aug 2008 - Aug 2009 1
Community Bank Of Rowan Charlotte, NC Apr 2007 - Aug 2008 1
Primevest Financial Services St. Cloud, MN Apr 2007 - Aug 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1992
S66 NASAA Uniform Combined State Law Examination Nov 2001
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 William F. Cole
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, WY

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BADGES
84

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