Eric N. 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.
Eric Nathan Cole was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1986. Eric had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 23 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
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 5, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
April 3, 2013 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
November 30, 2011 - April 4, 2012
NEW ENGLAND SECURITIES
November 4, 2008 - November 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 2006 - February 26, 2008
CALAMOS FINANCIAL SERVICES LLC
May 12, 1987 - August 13, 2004
FIDELITY BROKERAGE SERVICES LLC
June 28, 1986 - December 10, 1986
FIDELITY DISTRIBUTORS CORPORATION
March 19, 1986 - August 13, 1986
"SHAREAMERICA"
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: 4/4/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
