IC
Ian S. Cole
COPPER FINANCIAL
New York, NY 10017
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CRD#: 5181826
IC
Professional summary
Ian Stuart Cole is a registered financial advisor currently at COPPER FINANCIAL located in New York, New York.
Ian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ian has worked at 11 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) SOLID GROUND CAPITAL, LLC, 22 MADISON ROAD, SCARSDALE, NY 10583; RESIDENTIAL REAL ESTATE RENTALS; BUSINESS IS INVESTMENT-RELATED; POSITION: MEMBER; DUTIES: NO DAY TO DAY ACTIVITIES, PROPERTIES ARE MANAGED BY A THIRD PARTY; START DATE: 6/1/2018; TOTAL HOURS PER MONTH DEVOTED TO BUSINESS: 1; HOURS PER MONTH DURING TRADING HOURS DEVOTED TO BUSINESS: 0. (2) COLE CAPITAL, LLC, 22 MADISON ROAD, SCARSDALE, NY 10583; RESIDENTIAL REAL ESTATE RENTALS; BUSINESS IS INVESTMENT-RELATED; POSITION: MEMBER; DUTIES: NO DAY TO DAY ACTIVITIES; START DATE: 10/1/2017; TOTAL HOURS PER MONTH DEVOTED TO BUSINESS: 1; HOURS PER MONTH DURING TRADING HOURS DEVOTED TO BUSINESS: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Ian Stuart Cole's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ian Stuart Cole's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 2, 2022 - Present
COPPER FINANCIAL
Office #1: Two Un Plaza 3rd Floor (e. 44th Street, Between 1st And 2nd Avenue), New York, NY, 10017Office #2: 405 East 42nd Street 1b Visitor's Entrance On 46th Street, New York, NY, 10017RIA
BD
CRD#: 168203
New York, NY
Current
March 26, 2019 - Present
COPPER FINANCIAL
Office #1: Two Un Plaza 3rd Floor (e. 44th Street, Between 1st And 2nd Avenue), New York, NY, 10017RIA
BD
CRD#: 168203
New York, NY
Past
April 16, 2019 - October 13, 2022
UNFCU ADVISORS LLC
RIA
CRD#: 136572
NEW YORK, NY
Past
March 13, 2017 - January 28, 2019
PERSONAL CAPITAL ADVISORS CORPORATION
RIA
CRD#: 155172
HAWTHORNE, NY
Past
May 16, 2014 - March 16, 2017
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
May 14, 2014 - March 16, 2017
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
March 13, 2014 - April 10, 2014
ASPEN EQUITY PARTNERS, LLC
BD
CRD#: 104035
DALLAS, TX
Past
June 25, 2010 - September 22, 2011
EDI INVESTMENT ADVISOR CORPORATION
RIA
CRD#: 124129
NEW YORK, NY
Past
August 4, 2009 - March 1, 2012
EDI FINANCIAL, INC.
BD
CRD#: 15699
NEW YORK, NY
Past
June 23, 2009 - July 21, 2009
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
NEW YORK, NY
Past
March 4, 2008 - September 2, 2008
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
July 17, 2007 - June 13, 2009
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
January 5, 2007 - August 14, 2007
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
NEW YORK, NY
Past
September 21, 2006 - December 31, 2006
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
NEW YORK, NY
Past
September 7, 2006 - August 14, 2007
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
NEW YORK, NY
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".
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/9/2024)
RR
District of Columbia(1/10/2023)
RR
Florida(2/3/2020)
RR
Maryland(1/5/2021)
RR
Minnesota(2/4/2020)
RR
New Jersey(2/19/2020)
RR
New York(4/1/2019)
IAR
New York(3/2/2022)
IAR
Texas(3/2/2022)
RR
Virginia(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Phone number
(913) 905-8116
Established
Missouri since 11/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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.
