Kit M. 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.
Kit Margossian Cole, who also goes by Kit M Cole, Kit Margossia Tappan, was a registered financial professional .
Kit is a previously registered financial professional and started their career in finance in 1970. Kit had worked at 5 firms and has passed the Series 65, Series 63, 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
July 8, 1997 - June 23, 2005
KIT COLE INVESTMENT ADVISORY SERVICES
April 23, 1982 - December 12, 1988
ARTEMIS SECURITIES, INCORPORATED
February 24, 1978 - February 19, 1991
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
March 2, 1970 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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: 2/6/1969
Registered Representative ExaminationCurrent firm
No current employment
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.
