Clare G. Cole

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CRD#: 3264143

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.

Clare Gemma Cole, who also goes by Claire Cole, was a registered financial professional .

Clare is a previously registered financial professional and started their career in finance in 1999. Clare had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Claire 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 28, 2015 - October 30, 2015

SANDY COVE ADVISORS, LLC

RIA

CRD#: 152482

HINGHAM, MA

Past

January 13, 2005 - August 11, 2006

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

WESTPORT, MA

Past

June 1, 2004 - January 13, 2005

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

FALL RIVER, MA

Past

May 18, 2004 - August 11, 2006

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

April 4, 2002 - April 1, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 28, 1999 - November 27, 2002

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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".

SANDY COVE ADVISORS, LLC

SANDY COVE ADVISORS | SANDY COVE ADVISORS, LLC | SANDY COVE ADVISORS LLC

CRD#: 152482 / SEC#: 801-107724

RIA

Registered Investment Advisory firm - (4/22/2016 Approved)

New York

Registered Investment Advisory firm - (7/25/2016 Terminated)

Vermont

Registered Investment Advisory firm - (8/12/2016 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 9/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/1999

General Securities Representative Examination

Current Firm

SANDY COVE ADVISORS, LLC

SANDY COVE ADVISORS | SANDY COVE ADVISORS, LLC | SANDY COVE ADVISORS LLC

CRD#: 152482 / SEC#: 801-107724

RIA

Registered Investment Advisory firm - (4/22/2016 Approved)

New York

Registered Investment Advisory firm - (7/25/2016 Terminated)

Vermont

Registered Investment Advisory firm - (8/12/2016 Terminated)

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Contact information

Main Address

37 Derby Street Suite 5, Hingham, MA 02043

Mailing Address

Phone number

(617) 622-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SANDY COVER ADVISORS (2/27/2025)

Regulatory assets under management

Total Number of Accounts	971
AUM (Assets Under Management)	$ 581,668,473

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/26/2023	Cover Page	Report
01/31/2023	Cover Page	Report

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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Clare G. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANDY COVE ADVISORS, LLC

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

NEW ENGLAND SECURITIES

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

SANDY COVE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/3/1999

Series 7

Date: 7/27/1999

Current Firm

SANDY COVE ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SANDY COVE ADVISORS, LLC

TRUST BUT VERIFY

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