DW
Dolores A. White
KESTRA ADVISORY SERVICES
GLEN ROCK, NJ
Some features on this profile are disabled
CRD#: 1425040
DW
Professional summary
Dolores Ann White, who also goes by Dolores Cole, Dorores Cole, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Glen Rock, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Paramus, New Jersey.
Dolores is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Dolores has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dolores Cole | Dorores 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.
Business Name: Wealth Preservation Solutions, LLC Investment Related: Yes Address: 257 E. Ridgewood Avenue Suite 305 Ridgewood NJ 07450 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Employee Start Date: 1/27/2006 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I assist (3) Registered Reps with their clients, establishing accounts, reporting, executing orders, keeping the branch office's books and records up to date etc.,Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Director of Asset Management Start Date: 1/27/2006 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: For the one joint client with Robert Davis, I review their plan annually and any recommendations made by Robert. I am the contact person for WPS investment clients service items.
CRS (Client Relationship Summary) - RIA
Click below to view Dolores Ann White's 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®
NoneExperience
Current
April 26, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 45 Eisenhower Drive Suite 550, Paramus, NJ 07652RIA
CRD#: 283330
GLEN ROCK, NJ
Current
January 27, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 45 Eisenhower Drive Suite 550, Paramus, NJ 07652BD
CRD#: 42046
Paramus, NJ
Past
January 27, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
RIDGEWOOD, NJ
Past
October 28, 2004 - January 31, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
RIDGEWOOD, NJ
Past
October 28, 2004 - January 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 28, 2004 - January 31, 2006
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 14, 2003 - November 15, 2004
NEWSHOLME FINANCIAL GROUP, INC.
RIA
CRD#: 126165
GLEN ROCK, NJ
Past
October 28, 1991 - September 22, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 21, 1989 - November 6, 1989
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
BD
CRD#: 19727
Past
June 21, 1988 - November 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
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
RR
Colorado(3/22/2006)
RR
Connecticut(1/8/2007)
RR
Florida(1/8/2007)
RR
Georgia(1/3/2011)
RR
Illinois(1/3/2011)
RR
New Jersey(1/27/2006)
IAR
New Jersey(4/26/2016)
RR
New York(1/8/2007)
RR
Pennsylvania(1/3/2011)
RR
South Carolina(10/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
