Wilbert C. Wise
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.
Wilbert Cole Wise, who also goes by Cole Wise, Wilbert Cole Wise Jr, was a registered financial professional .
Wilbert is a previously registered financial professional and started their career in finance in 2002. Wilbert had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2024 - September 11, 2026
PRINCIPAL ADVISED SERVICES
June 8, 2021 - September 11, 2026
PRINCIPAL SECURITIES, INC.
July 20, 2012 - May 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 9, 2002 - September 27, 2010
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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
What does exam status mean?
Series 7TO
Passed: 3/25/2025
General Securities Representative ExaminationSeries 6
Passed: 7/8/2002
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 23,164 |
| AUM (Assets Under Management) | $ 1,422,868,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/24/2026 | ||
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
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.
