Keith H. 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.
Keith Hampton Cole was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1989. Keith had worked at 5 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2002 - August 6, 2015
CAPROCK SECURITIES, INC.
February 13, 2001 - September 4, 2002
RUSHMORE SECURITIES CORPORATION
June 8, 1998 - March 8, 2001
NORTHSTAR SECURITIES, INC.
February 24, 1995 - December 9, 1998
DOMINION CAPITAL CORPORATION
January 20, 1989 - February 27, 1995
AVANTAX INVESTMENT SERVICES, INC.
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
Current Firm
CAPROCK SECURITIES, INC.
CRD#: 8014 / SEC#: , 8-24444
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
| Judgment/Lien | 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.
