Edward J. Cole

COLE FINANCIAL ADVISORS

Provo, UT 84604

Some features on this profile are disabled

CRD#: 1045762

Professional summary

Edward Johnson Cole, CFP®, who also goes by Edward Lee Grob, is a registered financial advisor currently at COLE FINANCIAL ADVISORS, INC. located in Provo, Utah and LPL FINANCIAL LLC located in Provo, Utah.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Edward has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Edward Lee Grob

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1- 01/1998 / Cole Financial Advisors, Inc. / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / PROVO, UT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Johnson Cole's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

March 6, 2023 - Present

COLE FINANCIAL ADVISORS, INC.

Office #1: 3355 N. University Ave., Ste. 150, Provo, UT 84604

RIA

CRD#: 323312

Provo, UT

Current

March 6, 2023 - Present

LPL FINANCIAL LLC

Office #1: 3355 N University Ave, Ste 150, Provo, UT 84604

RIA

CRD#: 6413

Provo, UT

Past

April 15, 2008 - March 8, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PROVO, UT

Past

March 10, 2008 - March 8, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PROVO, UT

Past

January 1, 1996 - April 15, 2008

EDWARD J. COLE, FINANCIAL CONSULTANT, INC.

RIA

CRD#: 116221

PROVO, UT

Past

October 10, 1985 - March 10, 2008

ASSOCIATED SECURITIES CORP.

CRD#: 12969

PROVO, UT

Past

March 9, 1984 - October 3, 1985

FSC SECURITIES CORPORATION

CRD#: 7461

Past

September 23, 1982 - January 30, 1984

ALLIED GROUP SECURITIES CORPORATION

CRD#: 3638

Past

May 24, 1982 - September 28, 1982

PLANNERS FINANCIAL SERVICES, INC.

CRD#: 6751

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/6/2023)

IAR

Arizona
(3/9/2023)

California
(3/6/2023)

Colorado
(3/6/2023)

Connecticut
(3/6/2023)

Florida
(3/6/2023)

Idaho
(3/6/2023)

Illinois
(3/14/2023)

Iowa
(3/6/2023)

IAR

Iowa
(3/6/2023)

Kentucky
(3/6/2023)

Maine
(3/6/2023)

Minnesota
(3/31/2023)

Montana
(3/6/2023)

Utah
(3/6/2023)

IAR

Utah
(3/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

COLE FINANCIAL ADVISORS, INC.

COLE FINANCIAL ADVISORS | COLE FINANCIAL ADVISORS, INC.

CRD#: 323312 / SEC#:

Arizona

Registered Investment Advisory firm - (3/9/2023 Approved)

Iowa

Registered Investment Advisory firm - (11/30/2022 Approved)

Utah

Registered Investment Advisory firm - (3/8/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3355 N. University Ave., Ste. 150, Provo, UT 84604

Mailing Address

Phone number

(801) 374-6393

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Reuben Rowley

EAGLE STRATEGIES LLC

IAR

AMERICAN FORK, UT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward J. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Johnson Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

EDWARD J. COLE, FINANCIAL CONSULTANT, INC.

ASSOCIATED SECURITIES CORP.

FSC SECURITIES CORPORATION

ALLIED GROUP SECURITIES CORPORATION

PLANNERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/1994

Series 63

Date: 6/5/1982

SIE

Date: 10/1/2018

Series 7

Date: 5/15/1982

Series 24

Date: 5/22/1991

FINRA

Current Firm

COLE FINANCIAL ADVISORS, INC.

Contact information

Documents

Red Flags

Company Information

COLE FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors