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TC

Terry R. Cole

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CRD#: 50622
TC
Terry Ronald 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.

Terry Ronald Cole, CFP® was a registered financial professional .

Terry is a previously registered financial professional and started their career in finance in 1975. Terry had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Services Offered

Retirement Income Management
Estate Planning
Investment Planning
Retirement Planning

Aliases

None

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.
1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 1992, <1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DBA SENIOR FINANCIAL ADVISORS, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/03/2016; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 30 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS.

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

Start date: 1995

Experience

Past

June 29, 2023 - July 31, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
Scottsdale, AZ
Past

October 20, 1997 - March 18, 2025

SENIOR FINANCIAL ADVISORS, INC.

RIA
CRD#: 117257
BELLEVUE, WA
Past

February 10, 1995 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
KIRKLAND, WA
Past

April 24, 1990 - July 31, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
KIRKLAND, WA
Past

July 11, 1989 - October 30, 1989

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

July 11, 1989 - October 30, 1989

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

May 30, 1989 - April 26, 1990

DERAND/PENNINGTON/BASS, INC.

BD
CRD#: 4679
Past

May 3, 1988 - June 13, 1989

U.S. ADVISORS, INC.

BD
CRD#: 10721
Past

December 24, 1987 - May 17, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

January 12, 1984 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420
Past

July 24, 1980 - January 23, 1984

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882
Past

April 20, 1977 - July 28, 1978

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

April 10, 1975 - June 5, 1977

PW SECURITIES, INC.

BD
CRD#: 6775

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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: 1/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/30/1983
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: 9/17/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 4/5/1975
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/7/1983
General Securities Principal Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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