Peter J. 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.
Peter J Cole, who also goes by Peter James Cole Jr, Peter James Cole Jr., Peter James Cole, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2001. Peter had worked at 8 firms and has passed the Series 66, Series 63 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
June 21, 2011 - November 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2011 - November 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2010 - May 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2010 - May 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2007 - January 5, 2010
E*TRADE SECURITIES LLC
September 29, 2006 - February 13, 2007
EQUITABLE ADVISORS, LLC
October 19, 2004 - January 7, 2005
SALOMON GREY FINANCIAL CORPORATION
September 18, 2002 - December 12, 2002
MILESTONE GROUP MANAGEMENT LLC
February 6, 2002 - September 6, 2002
JOSEPH STEVENS & CO., INC.
October 16, 2001 - February 28, 2002
BERRY-SHINO SECURITIES, INC.
June 8, 2001 - November 14, 2001
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
