BC
Brett D. Cole
KESTRA ADVISORY SERVICES
Wayne, PA 19087
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CRD#: 2262893
BC
Professional summary
Brett David Cole, AIF®, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Wayne, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Wayne, Pennsylvania.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brett has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: TYCOR BENEFIT ADMINISTRATORS TYCOR FINANCIAL GROUP POSITION: Employee NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 07/30/2007 ADDRESS: 955 Chesterbrook Blvd, Suite 310, Wayne PA 19087, United States DESCRIPTION: Financial Planning Investment Advisory Business Name: TYCOR ASSET MANAGEMENT, INC AND TYCOR FINANCIAL GROUP POSITION: Financial & Investment Specialist NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/30/2007 ADDRESS: 955 Chesterbook Blvd, Suite 310, Wayne PA 19087, United States DESCRIPTION: Investment advice Financial Planning
CRS (Client Relationship Summary) - RIA
Click below to view Brett David 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: 2006
Experience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 955 Chesterbrook Blvd, Suite 310, Wayne, PA 19087RIA
CRD#: 283330
Wayne, PA
Current
August 8, 2007 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 955 Chesterbrook Blvd, Suite 310, Wayne, PA 19087BD
CRD#: 42046
Wayne, PA
Past
August 8, 2007 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
August 7, 2007 - December 31, 2015
TYCOR ASSET MANAGEMENT, INC.
RIA
CRD#: 120879
BERWYN, PA
Past
July 13, 2007 - August 15, 2007
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
HUNTINGTON VALLEY, PA
Past
September 21, 2001 - December 5, 2007
MANCHESTER ADVISORS
RIA
CRD#: 108015
HUNTINGDON VALLEY, PA
Past
April 5, 2000 - October 2, 2007
WHARTON EQUITY CORPORATION
BD
CRD#: 10170
HUNTINGDON VALLEY, PA
Past
September 5, 1997 - April 5, 2000
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ISELIN, NJ
Past
November 9, 1995 - August 28, 1997
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
August 6, 1992 - November 17, 1995
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
California(10/23/2014)
RR
Delaware(11/2/2015)
RR
Florida(11/2/2015)
RR
Georgia(8/6/2009)
RR
Maryland(11/2/2015)
RR
New Jersey(8/8/2007)
RR
New York(11/12/2013)
RR
Pennsylvania(8/8/2007)
IAR
Pennsylvania(4/19/2016)
RR
Rhode Island(11/2/2015)
RR
Virginia(11/2/2015)
RR
Washington(6/24/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
