KC
Karl E. Cole
INDEPENDENT FINANCIAL GROUP
Coppell, TX 75019
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CRD#: 1857172
KC
Professional summary
Karl Edgar Cole, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Coppell, Texas.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Karl has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) DBA COLE FINANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 140 START DATE: 01/01/2001 ADDRESS: 413 W. Bethel Rd., #203, Coppell TX 75019, United States DESCRIPTION: REGISTERED REPRESENTATIVE AND OWNER OF DBA COLE FINANCIAL OFFERING SECURITIES, INSURANCE AND ADVISORY SERVICES (2) NOTARY POSITION: Independent Contractor NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2007 ADDRESS: 413 W. Bethel Rd., #203, Coppell TX 75019, United States DESCRIPTION: NOTARY PUBLIC (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/14/2020 ADDRESS: 413 W. Bethel Rd., #203, Coppell TX 75019, United States DESCRIPTION: TX INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (4) 711 BURNET INVESTORS, LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/19/2020 ADDRESS: 413 W. Bethel Rd., #203, Coppell TX 75019, United States DESCRIPTION: 50% owner/operator of office space
CRS (Client Relationship Summary) - RIA
Click below to view Karl Edgar Cole's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl Edgar 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®
Start date: 1992
Experience
Current
November 20, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 711 Burnet St, Coppell, TX 75019RIA
BD
CRD#: 7717
Coppell, TX
Current
November 20, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 711 Burnet St, Coppell, TX 75019RIA
BD
CRD#: 7717
Coppell, TX
Past
October 13, 2009 - December 5, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
COPPELL, TX
Past
October 14, 2003 - December 5, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
COPPELL, TX
Past
July 22, 1995 - October 16, 2003
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 19, 1988 - July 21, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Alabama(1/11/2019)
RR
Arizona(11/20/2017)
RR
Arkansas(11/20/2017)
RR
California(11/20/2017)
RR
Colorado(11/20/2017)
RR
Florida(11/20/2017)
RR
Georgia(11/16/2023)
RR
Illinois(11/20/2017)
RR
Kansas(6/26/2023)
RR
Louisiana(11/20/2017)
RR
Maryland(11/20/2017)
RR
Massachusetts(11/20/2017)
RR
Minnesota(11/20/2017)
RR
Missouri(11/20/2017)
RR
Montana(11/20/2017)
RR
Nebraska(11/20/2017)
RR
New Hampshire(11/20/2017)
RR
New York(6/15/2020)
RR
North Carolina(6/21/2022)
RR
Ohio(11/20/2017)
RR
Oklahoma(11/20/2017)
RR
Oregon(10/3/2019)
RR
South Dakota(11/20/2017)
RR
Tennessee(2/5/2019)
RR
Texas(11/20/2017)
IAR
Texas(11/20/2017)
RR
Washington(11/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
