Bennett 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.
Bennett Scott Cole was a registered financial professional .
Bennett is a previously registered financial professional and started their career in finance in 1997. Bennett had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2006 - January 31, 2020
FALCONBRIDGE CAPITAL MARKETS, LLC
February 25, 2002 - April 6, 2004
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 1999 - March 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 9, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
January 14, 1997 - April 18, 1997
BANC OF AMERICA SECURITIES LLC
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 28
Date: 1/30/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FALCONBRIDGE CAPITAL MARKETS, LLC
CRD#: 139170 / SEC#: , 8-67193
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLE, BENNETT SCOTT | MEMBER/PRESIDENT/CCO/FINOP/CFO | 2844832 |
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.
