Cole M. Schofield
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.
Cole Michael Schofield, who also goes by Cole M Hayden, Cole Michael Hayden, was a registered financial professional .
Cole is a previously registered financial professional and started their career in finance in 1998. Cole had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - February 13, 2015
OPTIONSXPRESS, INC.
June 15, 2006 - March 24, 2017
CHARLES SCHWAB & CO., INC.
August 3, 2000 - May 31, 2001
BROKERAGE ADMINISTRATORS CORPORATION
July 30, 1999 - July 28, 2000
BROKERAGE ADMINISTRATORS CORPORATION
January 12, 1998 - July 19, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
