George W. 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.
George Wendell Cole was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1970. George had worked at 9 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 1995 - February 22, 2005
DOMINION INVESTOR SERVICES, INC.
September 17, 1991 - December 22, 1994
SENTRA SECURITIES CORPORATION
January 14, 1991 - November 12, 1991
DOMINION INVESTOR SERVICES, INC.
September 28, 1990 - December 31, 1990
T.L. REED SECURITIES, INC.
July 16, 1990 - October 18, 1990
DFW CLEARING, INC.
March 8, 1990 - August 7, 1990
BOUCHER, OEHMKE & COMPANY
August 16, 1988 - January 20, 1990
ANDERSON, BRYANT & CO.
November 5, 1984 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
May 8, 1973 - March 8, 1974
THE HERITAGE SECURITIES CORPORATION, INC.
June 4, 1970 - February 14, 1972
DON D. ANDERSON & CO., 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
Series 1
Date: 7/19/1965
Registered Representative ExaminationCurrent Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
