Michael E. 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.
Michael E Cole was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2012 - December 31, 2020
MONEY CONCEPTS CAPITAL CORP
October 2, 2012 - December 31, 2020
MONEY CONCEPTS CAPITAL CORP
January 2, 2009 - September 10, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 11, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 2004 - September 10, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 15, 2002 - July 15, 2004
CETERA INVESTMENT SERVICES LLC
June 6, 2001 - July 15, 2004
CETERA INVESTMENT SERVICES LLC
February 24, 2000 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
January 3, 1996 - February 26, 2000
EDWARD JONES
May 8, 1995 - January 12, 1996
ADVEST, INC.
November 22, 1994 - May 10, 1995
FORESTERS FINANCIAL SERVICES, INC.
April 5, 1993 - December 7, 1993
IDS LIFE INSURANCE COMPANY
April 5, 1993 - December 7, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
