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CC

Charles D. Cole

Some features on this profile are disabled
CRD#: 4880984
CC

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.

Charles Donald Cole III, CFP®, who also goes by Charles Donald Cole III, Charles Donald Cole, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2004. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Donald Cole Iii | Charles Donald 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®
CFP®

Certified Financial Planner

Experience

Past

November 6, 2025 - January 20, 2026

DESTINATION WEALTH MANAGEMENT

RIA
CRD#: 110365
WALNUT CREEK, CA
Past

September 3, 2020 - January 12, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
CAMPBELL, CA
Past

August 24, 2020 - January 7, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
CAMPBELL, CA
Past

March 25, 2017 - August 6, 2020

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
San Jose, CA
Past

March 25, 2017 - August 6, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
San Jose, CA
Past

March 11, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
WALNUT CREEK, CA
Past

March 11, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WALNUT CREEK, CA
Past

April 26, 2013 - July 17, 2013

MORGAN STANLEY

BD
CRD#: 149777
SAN FRANCISCO, CA
Past

April 22, 2013 - July 17, 2013

MORGAN STANLEY

RIA
CRD#: 149777
SAN FRANCISCO, CA
Past

February 25, 2010 - December 10, 2012

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
WALNUT CREEK, CA
Past

February 17, 2010 - December 10, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WALNUT CREEK, CA
Past

June 30, 2006 - March 16, 2010

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
SAN RAMON, CA
Past

June 30, 2006 - March 16, 2010

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
SAN RAMON, CA
Past

June 29, 2005 - June 30, 2006

CARILLON INVESTMENTS, INC.

RIA
CRD#: 14646
DANVILLE, CA
Past

December 17, 2004 - June 30, 2006

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
DANVILLE, 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".
DW
DESTINATION WEALTH MANAGEMENT
DESTINATION WEALTH MANAGEMENT | YCMNET ADVISORS | QUALITY PENSION MANAGEMENT

CRD#: 110365 / SEC#: 801-53077

RIA
Registered Investment Advisory firm - (10/11/1996 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/17/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DW
DESTINATION WEALTH MANAGEMENT
DESTINATION WEALTH MANAGEMENT | YCMNET ADVISORS | QUALITY PENSION MANAGEMENT

CRD#: 110365 / SEC#: 801-53077

RIA
Registered Investment Advisory firm - (10/11/1996 Approved)
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Contact information

Main Address
1255 Treat Boulevard Suite 900, Walnut Creek, CA 94597
Mailing Address
Phone number
(925) 935-2900
Established
Firm type
Fiscal year end
# of Employees
56

SEC notice filing (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DESTINATION WEALTH MANAGEMENT, ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts5,732
AUM (Assets Under Management)$ 4,145,050,618

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.

Company Information

DESTINATION WEALTH MANAGEMENT

CRD#: 110365

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