Charles D. 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.
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 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2020 - January 12, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 24, 2020 - January 7, 2022
FIDELITY BROKERAGE SERVICES LLC
March 25, 2017 - August 6, 2020
MML INVESTORS SERVICES, LLC
March 25, 2017 - August 6, 2020
MML INVESTORS SERVICES, LLC
March 11, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 11, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 26, 2013 - July 17, 2013
MORGAN STANLEY
April 22, 2013 - July 17, 2013
MORGAN STANLEY
February 25, 2010 - December 10, 2012
MSI FINANCIAL SERVICES, INC.
February 17, 2010 - December 10, 2012
MSI FINANCIAL SERVICES, INC.
June 30, 2006 - March 16, 2010
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - March 16, 2010
AMERITAS INVESTMENT COMPANY, LLC
June 29, 2005 - June 30, 2006
CARILLON INVESTMENTS, INC.
December 17, 2004 - June 30, 2006
CARILLON INVESTMENTS, INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
