Alexander P. 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.
Alexander Preston Cole, who also goes by Alex Cole, was a registered financial advisor .
Alexander is a previously registered financial advisor and started their career in finance in 1997. Alexander had worked at 4 firms and has passed the Series 65, Series 63, Series 55 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
March 5, 2012 - December 31, 2012
PRESTON WEALTH MANAGEMENT LLC
November 14, 2011 - December 31, 2011
PRESTON WEALTH MANAGEMENT LLC
September 20, 2000 - June 27, 2001
NOMURA SECURITIES INTERNATIONAL, INC.
August 31, 1998 - July 26, 2000
JPMSI
August 25, 1997 - December 23, 1997
BARINGTON CAPITAL GROUP, L.P.
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 55
Date: 12/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
PRESTON WEALTH MANAGEMENT LLC
CRD#: 157885 / SEC#:
Contact information
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.
