Kevin C. Cole

LPL ENTERPRISE

INDIANAPOLIS, IN 46240

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CRD#: 1150120

Professional summary

Kevin Charles Cole, who also goes by Kevin C Cole, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Indianapolis, Indiana.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kevin has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin C Cole

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. 01/29/2025 - Sandpiper Lane - Real Estate Rental - INV REL - Gulf Shores, AL - Start Date 06/01/2021 - 4hrs/MTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Charles Cole's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Charles Cole's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 4, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 8888 Keystone Crossing Suite 1300, Indianapolis, IN 46240

RIA

CRD#: 8733

INDIANAPOLIS, IN

Current

February 4, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 8888 Keystone Crossing Suite 1300, Indianapolis, IN 46240

RIA

CRD#: 8733

INDIANAPOLIS, IN

Past

October 14, 2010 - March 18, 2025

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CARMEL, IN

Past

October 7, 2010 - March 18, 2025

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CARMEL, IN

Past

March 4, 2009 - April 13, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

INDIANAPOLIS, IN

Past

February 17, 2009 - April 13, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

INDIANAPOLIS, IN

Past

August 11, 2008 - December 2, 2008

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

LAFAYETTE, IN

Past

August 8, 2008 - December 2, 2008

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

LAFAYETTE, IN

Past

September 20, 2007 - August 12, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LAFAYETTE, IN

Past

September 10, 2007 - August 12, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LAFAYETTE, IN

Past

February 27, 2006 - August 17, 2007

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CARMEL, IN

Past

February 27, 2006 - August 17, 2007

INVEST FINANCIAL CORPORATION

CRD#: 12984

CARMEL, IN

Past

January 17, 2006 - February 16, 2006

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

INDIANAPOLIS, IN

Past

January 17, 2006 - February 16, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

INDIANAPOLIS, IN

Past

September 5, 2003 - January 9, 2006

IFMG SECURITIES, INC.

RIA

CRD#: 14416

INDIANAPOLIS, IN

Past

September 5, 2003 - January 9, 2006

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

February 25, 2003 - September 10, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

November 1, 2001 - October 15, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

INDIANAPOLIS, IN

Past

September 5, 2001 - October 15, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

June 19, 2000 - August 24, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 19, 2000 - August 24, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

May 3, 1999 - July 7, 2000

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

December 13, 1994 - April 27, 1999

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

October 15, 1993 - April 7, 1998

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

December 4, 1990 - June 21, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

December 4, 1990 - February 13, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(2/4/2025)

Illinois
(7/11/2025)

IAR

Indiana
(2/5/2025)

Indiana
(2/11/2025)

North Carolina
(2/4/2025)

Texas
(2/4/2025)

IAR

Texas
(2/4/2025)

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 66

Date: 10/22/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/11/1990

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: 11/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 9/30/1981

Non-Member General Securities Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin C. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Charles Cole's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Charles Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

VOYA FINANCIAL PARTNERS, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2001

Series 63

Date: 12/11/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1998

Series 2

Date: 9/30/1981

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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