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David A. Cole

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CRD#: 1402689
DC

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.

David Alfred Cole MR, who also goes by David Alfred Cole, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1985. David had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Alfred 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.
NAME OF OBA: CO-AUTHOR OF BOOK: "IF I GIVE YOU A FISH"; ADDRESS OF OBA: 4433 EAST 90TH PLACE, TULSA, OK; NATURE: CO-AUTHORSHIP OF A BOOK THAT GIVES GENERAL FINANCIAL ADVICE (NOTHING SPECIFIC) WHICH IS OFFERED FOR SALE ON AMAZON; INVESTMENT RELATED: NO; TITLE WITH OBA: CO-AUTHOR; DUTIES: CO-AUTHOR; START DATE: 12/21/2011; APPROX. NUMBER OF HOURS/MONTH: N/A; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: N/A

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

March 20, 2013 - October 2, 2017

MINSHALL & COMPANY INC.

BD
CRD#: 20050
TULSA, OK
Past

January 12, 2012 - August 11, 2022

CAPITAL ADVISORS, INC.

RIA
CRD#: 104643
TULSA, OK
Past

January 14, 2005 - June 5, 2012

SOUTHWEST FINANCIAL SERVICES, LLC

RIA
CRD#: 132560
TULSA, OK
Past

August 19, 1997 - December 31, 2011

FAS CORP.

BD
CRD#: 43536
LEAWOOD, KS
Past

March 16, 1995 - September 3, 1997

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

June 30, 1994 - March 17, 2020

FAS WEALTH PARTNERS, INC.

RIA
CRD#: 109796
Leawood, KS
Past

February 25, 1993 - March 17, 1995

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

August 11, 1989 - March 21, 1995

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

August 20, 1985 - August 31, 1989

CMS INVESTMENT RESOURCES, LLC

BD
CRD#: 10102
WYNNEWOOD, PA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1985
General Securities Representative Examination

Current Firm

M&
MINSHALL & COMPANY INC.
MINSHALL & COMPANY INC.

CRD#: 20050 / SEC#: , 8-38016

BD
Terminated by SEC on 12/01/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/17/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ADVISORS, INC.100% SHAREHOLDER
SMITH, LORINE ANNVICE PRES./COO/CFO/CCO/DIRECTOR2437246

Disclosures

Regulatory Event2

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.

Company Information

MINSHALL & COMPANY INC.

CRD#: 20050

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