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Robert J. Cole

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CRD#: 1651160
RC

Professional summary

Robert Joseph Cole was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Robert had worked at 4 firms, which includes LEONARD & COMPANY, KEYBANC CAPITAL MARKETS INC., MORGAN STANLEY DW INC., DREXEL BURNHAM LAMBERT INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert 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.
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

May 18, 2004 - October 31, 2007

LEONARD & COMPANY

BD
CRD#: 36527
TROY, MI
Past

November 22, 1999 - May 11, 2004

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
BIRMINGHAM, MI
Past

December 21, 1995 - May 11, 2004

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

May 9, 1989 - December 21, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 23, 1987 - June 6, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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: 5/4/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/9/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/5/1987
National Commodity Futures Examination

Current Firm

L&
LEONARD & COMPANY
CAMBRIDGE CAPITAL MANAGEMENT, INC. | WEALTH LINK, A DIVISION OF LEONARD & COMPANY | THE MANN GROUP, A DVISION OF LEONARD & COMPANY | THE MANN GROUP, A DIVISION OF LEONARD & COMPANY | THE AGBAY GROUP, A DIVISION OF LEONARD & COMPANY | STRATEGIC ASSET ADVISORS, A DIVISION OF LEONARD & COMPANY | QUARTON PARTNERS, A DIVISION OF LEONARD & COMPANY | PLUMMER MCINERNEY GROUP WEALTH MANAGEMENT, A DIVISION OF LEONARD & COMPANY | LEONARD FINANCIAL CORPORATION | LEONARD CAPITAL MARKETS, A DIVISION OF LEONARD & COMPANY | LEONARD ASSET MANAGEMENT, A DIVISION OF LEONARD & COMPANY | LEONARD AND COMPANY | LEONARD & COMPANY | GREAT LAKES BAY FINANCIAL, A DIVISION OF LEONARD & COMPANY | DARVIN ASSET MANAGEMENT, A DIVISION OF LEONARD & COMPANY | CCM FINANCIAL CORPORATION

CRD#: 36527 / SEC#: 801-60035, 8-47298

BD
Terminated by SEC on 09/18/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 10/18/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

LEONARD & COMPANY (3/29/2012)
SAA (3/29/2012)
WEALTH LINK (3/29/2012)
AGBAY GROUP (3/29/2012)
WRAP FEE BROCHURE (3/29/2012)

Direct owners and executive officers

NamePositionCRD#
LEONARD-FRENCH HOLDINGS, INC.OWNER
FRENCH, DAINFORTH BAKER JRPRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2406891
WEBER, DAVID KEITHCHIEF FINANCIAL OFFICER/FIN OP4797454

Disclosures

Regulatory Event13
Arbitration2

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

LEONARD & COMPANY

CRD#: 36527

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