Arthur R. Cole

CND FINANCIAL

Livonia, MI 48150

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CRD#: 2822685

Professional summary

Arthur Raymond Cole, who also goes by Art Cole, Arthur R Cole, is a registered financial advisor currently at CND FINANCIAL located in Livonia, Michigan.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Arthur has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Cole | Arthur R Cole

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Raymond Cole's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 6, 2010 - Present

CND FINANCIAL

Office #1: 33762 Schoolcraft Rd 2nd Floor, Livonia, MI 48150

RIA

CRD#: 110180

Livonia, MI

Past

June 30, 2004 - December 6, 2004

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

November 26, 1996 - June 30, 2004

HOCHMAN & BAKER SECURITIES, INC.

CRD#: 19949

STAMFORD, CT

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".

CND FINANCIAL

CND FINANCIAL | EXECUTIVE FINANCIAL SERVICES INC

CRD#: 110180 / SEC#: 801-121895

RIA

Registered Investment Advisory firm - (7/28/2021 Approved)

Michigan

Registered Investment Advisory firm - (8/2/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/23/2026)

IAR

Michigan
(5/6/2010)

IAR

Texas
(7/26/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/25/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CND FINANCIAL

CND FINANCIAL | EXECUTIVE FINANCIAL SERVICES INC

CRD#: 110180 / SEC#: 801-121895

RIA

Registered Investment Advisory firm - (7/28/2021 Approved)

Michigan

Registered Investment Advisory firm - (8/2/2021 Terminated)

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Contact information

Main Address

33762 Schoolcraft Rd 2nd Floor, Livonia, MI 48150

Mailing Address

Phone number

(734) 427-2030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CND FINANCIAL ADV 2A (12/2/2025)

Regulatory assets under management

Total Number of Accounts	192
AUM (Assets Under Management)	$ 180,300,000

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.

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Arthur R. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Raymond Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

CND FINANCIAL

CETERA FINANCIAL SPECIALISTS LLC

HOCHMAN & BAKER SECURITIES, INC.

Primary Firm SEC Registration

CND FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2006

Series 63

Date: 11/25/1996

Series 6

Date: 11/25/1996

Current Firm

CND FINANCIAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CND FINANCIAL

TRUST BUT VERIFY

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