Michael 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.
Michael Scott 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 4 firms and has passed the Series 63, Series 62, Series 79 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
January 30, 2012 - October 8, 2012
ASCENDIANT SECURITIES, LLC
August 6, 2007 - December 31, 2010
ARMA ASSET MANAGEMENT, LLC
February 23, 2007 - August 7, 2009
SOURCE CAPITAL GROUP, INC.
February 19, 2004 - January 17, 2006
SOURCE CAPITAL GROUP, INC.
November 6, 2001 - December 19, 2002
SAMCO FINANCIAL SERVICES, INC.
December 13, 1993 - March 30, 2000
SAMCO FINANCIAL 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
Series 62
Date: 3/26/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
ASCENDIANT SECURITIES, LLC
CRD#: 129236 / SEC#: , 8-66203
Contact information
FINRA licenses (2 States and Territories)
Disclosures
| Financial | 2 |
Red Flags
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