Peter E. Cole
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Evan Cole was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2012 - March 27, 2014
X-CHANGE FINANCIAL ACCESS, LLC
May 19, 2006 - October 18, 2010
NEWEDGE USA, LLC
June 11, 2003 - May 22, 2006
MF GLOBAL INC.
January 29, 1997 - May 23, 2003
NEWEDGE USA, LLC
October 19, 1989 - December 21, 1995
CITIGROUP GLOBAL MARKETS INC.
June 23, 1987 - November 21, 1989
LEHMAN BROTHERS INC.
December 24, 1981 - December 29, 1982
R. E. BOLTON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
