Alexis I. Cole

CALIFORNIA CAPITAL MANAGEMENT

Black Mountain, NC

Some features on this profile are disabled

CRD#: 4794870

Professional summary

Alexis Irene Cole, CFP®, who also goes by Alexis Irene Cole, is a registered financial advisor currently at CALIFORNIA CAPITAL MANAGEMENT located in Black Mountain, North Carolina.

Alexis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Alexis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexis Irene 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.

Rental Property-Not investment related-Various Locations-Rental Property- Owner-10/2010-5% of time-Manages tenants and property Catherine Cole Ferandelli Living Trust-Not investment related-1 Sand Pass Road, Winnemuccca, NV 89446-Mother's family trust-Successor Trustee-5/2006-0 hrs/mth-0 during trading hrs-Successor Trustee. Southern CA Reined Cow Horse Association - not investment related - treasurer/board member - 01/2021 - 3% of time Cottages on Liberty Green - Not investment related - Board member - 10/2021 - 2% of time

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Irene Cole's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

June 3, 2014 - Present

CALIFORNIA CAPITAL MANAGEMENT

RIA

CRD#: 130734

Black Mountain, NC

Past

October 21, 2016 - December 27, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

North Hollywood, CA

Past

November 12, 2013 - November 12, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

NORTH HOLLYWOOD, CA

Past

November 8, 2013 - November 12, 2014

LPL FINANCIAL LLC

CRD#: 6413

NORTH HOLLYWOOD, CA

Past

September 12, 2013 - November 27, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TORRANCE, CA

Past

September 10, 2013 - November 27, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TORRANCE, CA

Past

January 18, 2005 - October 14, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

NORTH HOLLYWOOD, CA

Past

November 10, 2004 - October 14, 2011

LPL FINANCIAL LLC

CRD#: 6413

NORTH HOLLYWOOD, CA

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".

CALIFORNIA CAPITAL MANAGEMENT

CALIFORNIA CAPITAL ADVISORS, INC. | CONSOLIDATED CAPITAL MANAGEMENT, LLC | CALIFORNIA CAPITAL MANAGEMENT | CALIFORNIA CAPITAL ADVISORS. INC

CRD#: 130734 / SEC#: 801-76714

RIA

Registered Investment Advisory firm - (6/8/2012 Approved)

California

Registered Investment Advisory firm - (12/7/2012 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/3/2014)

IAR

North Carolina
(6/24/2025)

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

IAR

Series 66

Date: 1/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2004

General Securities Representative Examination

Current Firm

CALIFORNIA CAPITAL MANAGEMENT

CALIFORNIA CAPITAL ADVISORS, INC. | CONSOLIDATED CAPITAL MANAGEMENT, LLC | CALIFORNIA CAPITAL MANAGEMENT | CALIFORNIA CAPITAL ADVISORS. INC

CRD#: 130734 / SEC#: 801-76714

RIA

Registered Investment Advisory firm - (6/8/2012 Approved)

California

Registered Investment Advisory firm - (12/7/2012 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2520 West Olive Avenue Suite 300, Burbank, CA 91505

Mailing Address

Phone number

(818) 766-0660

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1: WRAP FEE PROGRAM BROCHURE (2/27/2025)

FORM ADV PART 2A - FIRM BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	884
AUM (Assets Under Management)	$ 320,956,754

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alexis I. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Irene Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

CALIFORNIA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/8/2004

Current Firm

CALIFORNIA CAPITAL MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALIFORNIA CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors