Adam C. 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.
Adam Charles Cole, who also goes by Adam Cole, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2005. Adam had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2015 - June 1, 2016
PACIFIC FINANCIAL GROUP, LLC
March 31, 2014 - December 19, 2014
MFS INSTITUTIONAL ADVISORS INC.
November 21, 2013 - December 19, 2014
MFS FUND DISTRIBUTORS, INC.
May 3, 2010 - July 18, 2013
EATON VANCE MANAGEMENT
April 26, 2010 - July 18, 2013
EATON VANCE DISTRIBUTORS, INC.
October 23, 2009 - March 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 20, 2005 - December 31, 2008
BOFA DISTRIBUTORS, INC.
July 1, 2005 - December 31, 2008
BOFA ADVISORS, LLC
June 29, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
Primary Firm SEC Registration
PACIFIC FINANCIAL GROUP, LLC
CRD#: 143041 / SEC#: 801-68318
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
PACIFIC FINANCIAL GROUP, LLC
CRD#: 143041 / SEC#: 801-68318
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 3,759,819,330 |
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.
