Louise M. Cole

PROSPERITY CAPITAL ADVISORS

Southport, NC

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CRD#: 1189173

Professional summary

Louise Marie Cole, CFP®, who also goes by Louise Marie Johnson, Louise Schwenk Johnson, Louise Johnson Schwenk Phair, Louise Marie Phair, Louise Marie Schwenk, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Southport, North Carolina.

Louise is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Louise has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Louise Marie Johnson | Louise Schwenk Johnson | Louise Johnson Schwenk Phair | Louise Marie Phair | Louise Marie Schwenk

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) Ms. Cole is a licensed insurance agent conducting business from his registered location. In this capacity, she may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, she may receive other compensation such as fixed life trails. Ms. Cole spends approx. 10 hrs/week during trading hours on this activity. 2) Louise Cole is the Co-Owner of Heritage Advisory Group, Inc. d.b.a. Heritage Group of Companies which is the operating entity for Ms. Cole's advisory and insurance business. Ms. Cole spends approximately twenty five hours per week during trading hours working under this entity. 3) Louise Cole is the Owner of Family Legacy Connect which is a legacy planning company that consults on non-financial inheritance. Ms. Cole spends approximately 5 hours per month on this activity during trading hours and approximately 20 hours per month on this activity during non-trading hours. This is not an investment related activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louise Marie 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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

March 6, 2017 - Present

PROSPERITY CAPITAL ADVISORS

RIA

CRD#: 156480

Southport, NC

Past

February 21, 2013 - March 30, 2017

HERITAGE ADVISORY GROUP, INC.

RIA

CRD#: 125633

TOMS RIVER, NJ

Past

February 19, 2013 - December 31, 2016

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

TOMS RIVER, NJ

Past

February 19, 2013 - December 31, 2016

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

TOMS RIVER, NJ

Past

August 27, 2009 - March 11, 2013

GRANT WILLIAMS L.P.

RIA

CRD#: 45961

TOMS RIVER, NJ

Past

August 7, 2009 - March 11, 2013

GRANT WILLIAMS L.P.

CRD#: 45961

TOMS RIVER, NJ

Past

May 20, 2005 - December 31, 2012

HERITAGE ADVISORY GROUP, INC.

RIA

CRD#: 125633

TOMS RIVER, NJ

Past

March 27, 2003 - August 6, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

TOMS RIVER, NJ

Past

May 31, 1996 - August 6, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

TOMS RIVER, NJ

Past

April 18, 1995 - May 31, 1996

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

September 28, 1989 - April 24, 1995

WORLD INVESTMENTS, LLC

CRD#: 20626

LINCROFT, NJ

Past

December 12, 1985 - October 3, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

May 29, 1985 - August 19, 1985

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

Past

November 10, 1983 - March 11, 1985

PENNSYLVANIA SECURITIES COMPANY

CRD#: 7667

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".

PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA

Registered Investment Advisory firm - (3/22/2011 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(3/6/2017)

IAR

North Carolina
(1/26/2022)

IAR

Texas
(8/7/2017)

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.

Exams

State Security Law Exam

Series 63

Date: 11/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/1/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA

Registered Investment Advisory firm - (3/22/2011 Approved)

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Contact information

Main Address

30400 Detroit Road Suite 201, Westlake, OH 44145

Mailing Address

Phone number

(888) 240-0064

Established

Firm type

Fiscal year end

# of Employees

202

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,823
AUM (Assets Under Management)	$ 3,684,966,200

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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Louise M. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louise Marie Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERITAGE ADVISORY GROUP, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

GRANT WILLIAMS L.P.

GRANT WILLIAMS L.P.

HERITAGE ADVISORY GROUP, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CINCINNATI ANALYSTS, INC.

WORLD INVESTMENTS, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

CARDELL & ASSOCIATES, INCORPORATED

PENNSYLVANIA SECURITIES COMPANY

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/5/1997

SIE

Date: 12/31/2016

Series 7

Date: 2/15/1986

Series 6

Date: 11/1/1983

Current Firm

PROSPERITY CAPITAL ADVISORS

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY CAPITAL ADVISORS

TRUST BUT VERIFY

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