William F. 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.
William Francis Cole, who also goes by Bill Cole, William F Cole, William Francis Cole, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2017 - August 14, 2018
CHARLES SCHWAB & CO., INC.
August 1, 2017 - August 14, 2018
CHARLES SCHWAB & CO., INC.
January 27, 2014 - April 4, 2017
LPL FINANCIAL LLC
January 24, 2014 - April 4, 2017
LPL FINANCIAL LLC
November 5, 2013 - January 17, 2014
TD AMERITRADE, INC.
November 5, 2013 - January 17, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 1, 2013 - January 17, 2014
TD AMERITRADE, INC.
January 15, 2013 - October 15, 2013
BB&T INVESTMENT SERVICES, INC.
January 15, 2013 - October 15, 2013
BB&T INVESTMENT SERVICES, INC.
August 31, 2009 - December 20, 2012
PNC WEALTH MANAGEMENT LLC
August 24, 2009 - December 20, 2012
PNC WEALTH MANAGEMENT LLC
April 27, 2007 - August 25, 2008
CETERA INVESTMENT SERVICES LLC
April 24, 2007 - August 25, 2008
CETERA INVESTMENT SERVICES LLC
February 15, 2000 - November 11, 2005
TRUIST INVESTMENT SERVICES, INC.
February 10, 2000 - November 11, 2005
TRUIST INVESTMENT SERVICES, INC.
September 17, 1997 - November 5, 1999
FISERV INVESTOR SERVICES, INC.
March 31, 1997 - September 17, 1997
LINK INVESTMENT SERVICES, INC.
April 9, 1996 - April 4, 1997
PFIC SECURITIES CORPORATION
March 3, 1995 - March 12, 1996
AMSOUTH INVESTMENT SERVICES, INC.
May 3, 1993 - March 8, 1995
LPL FINANCIAL LLC
October 1, 1992 - May 14, 1993
INVESTACORP, INC.
January 29, 1992 - October 20, 1992
LEHMAN BROTHERS INC.
March 19, 1985 - December 8, 1987
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 8
Date: 9/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
