Dorothy J. Cole

DOROTHY J. COLE

MERRIMACK, NH

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CRD#: 1805463

Professional summary

Dorothy Jane Cole, CFP®, who also goes by Dorothy Jane Fieldston, is a registered financial advisor currently at DOROTHY J. COLE located in Merrimack, New Hampshire.

Dorothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Dorothy has worked at 1 firm .

Biography

Dorothy Cole has over twenty-five years of experience managing the financial assets of individuals, businesses, and charities. During the last 20 years, she has worked in the financial services industry as a professional financial planner. She opened her own financial planning firm in 1991 and continues today to manage this firm. Dorothy received her Master of Business Administration degree from Simmons College School of Management in Boston, MA. She also holds a Masters degree in Education in the area of counseling and the CERTIFIED FINANCIAL PLANNER™ professional designation.

Question & Answer

What are your service offerings?

Small Business Planning

Investment Planning

Comprehensive Financial Planni...

Tax Planning

Retirement Planning

Do you have an area of expertise or specialization?

Business Owners

Divorce Planning

Medical Professionals

Middle Income Client Needs

Special Needs Planning

Are you a "fiduciary"?

Yes

Aliases

Dorothy Jane Fieldston

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) - RIA

Click below to view Dorothy Jane Cole'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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

April 29, 1994 - Present

DOROTHY J. COLE

RIA

CRD#: 116607

MERRIMACK, NH

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(4/29/1994)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

DOROTHY J. COLE

DOROTHY J. COLE | DOROTHY JANE COLE

CRD#: 116607 / SEC#:

Massachusetts

Registered Investment Advisory firm - (4/29/1994 Approved)

New Hampshire

Registered Investment Advisory firm - (12/31/1994 Approved)

New York

Registered Investment Advisory firm - (12/6/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Merrimack, NH

Mailing Address

Phone number

(800) 352-6530

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	195
AUM (Assets Under Management)	$ 90,492,881

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.

Contact information

(xxx) xxx-xxxx

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Dorothy J. Cole

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dorothy Jane Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOROTHY J. COLE

State Registrations and Notice Filings

Exams

Current Firm

DOROTHY J. COLE

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DOROTHY J. COLE

TRUST BUT VERIFY

Contact information

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