Michael A. Cole

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CRD#: 1262398

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.

Michael Aaron Cole was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2018 - June 30, 2020

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

San Francisco, CA

Past

June 7, 2012 - July 17, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 16, 2012 - July 17, 2018

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

SAINT PAUL, MN

Past

April 14, 2003 - July 23, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

PALO ALTO, CA

Past

June 24, 2002 - July 23, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

PALO ALTO, CA

Past

July 13, 1990 - September 21, 1993

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

Past

May 10, 1984 - July 27, 1990

VP DISTRIBUTORS LLC

CRD#: 3036

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".

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 4/11/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/3/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/23/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/21/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/17/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

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Contact information

Main Address

444 W. Lake Street Suite 4700, Chicago, IL 60606

Mailing Address

Phone number

(312) 429-2400

Established

Firm type

Fiscal year end

# of Employees

468

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRESSET ASSET MANAGEMENT, LLC FORM ADV2A ("DISCLOSURE BROCHURE") AND APPENDIX 1 ("WRAP FEE BROCHURE") (10/29/2025)

Regulatory assets under management

Total Number of Accounts	42,546
AUM (Assets Under Management)	$ 71,864,303,961

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/10/2025	Cover Page	Report
10/09/2024	Cover Page	Report
11/20/2023	Cover Page	Report
12/21/2022	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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Advisor Monitoring

Firm Stability Insights

Michael A. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

SMH CAPITAL INVESTMENTS LLC

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

CRESSET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2003

Series 63

Date: 4/3/1987

SIE

Date: 7/17/2018

Series 7

Date: 12/6/2002

Series 22

Date: 6/23/1989

Series 6

Date: 5/8/1984

Series 10

Date: 6/21/2002

Series 9

Date: 5/17/2002

Current Firm

CRESSET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CRESSET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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