Joyce S. 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.
Joyce Smith Cole was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1989. Joyce had worked at 4 firms and has passed the Series 65, Series 63 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
December 12, 2014 - March 11, 2021
CENTERPOINT FINANCIAL, INC.
August 1, 2005 - January 4, 2007
GRIMALDI PORTFOLIO SOLUTIONS, INC
August 8, 1996 - December 23, 2014
J. COLE FINANCIAL ADVISERS, INC.
December 4, 1989 - July 3, 1996
LINCOLN INVESTMENT
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
CENTERPOINT FINANCIAL, INC.
CRD#: 171610 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 366 |
| AUM (Assets Under Management) | $ 95,830,000 |
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.
