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Christopher H Cole

CFP®
COLE FINANCIAL ADVISORS
PROVO, UT
·CRD# 5496531·14 years experience

Professional Summary

Christopher H Cole, CFP®, who also goes by Chris Cole, Christopher Hyrum Cole, is a registered financial advisor currently at COLE FINANCIAL ADVISORS, INC. located in Provo, Utah and LPL FINANCIAL LLC located in Provo, Utah. Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chris Cole, Christopher Hyrum Cole

Blog Corner

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 2013

Years of Experience

14 years in the financial services industry

Current & Past Employments

COLE FINANCIAL ADVISORS, INC.·CRD# 323312
RIA
3355 N. University Ave., Ste. 150, Provo, UT 84604
March 6, 2023 - Present
LPL FINANCIAL LLC·CRD# 6413
RIA
BD
3355 N University Ave, Ste 150, Provo, UT 84604
March 6, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Provo, UT
March 28, 2012 - March 8, 2023
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Provo, UT
February 27, 2012 - March 8, 2023

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Current Firm

CF
COLE FINANCIAL ADVISORS, INC.

COLE FINANCIAL ADVISORS | COLE FINANCIAL ADVISORS, INC.

CRD#: 323312
Arizona
Registered Investment Advisory firm - Arizona (3/9/2023 Approved)
Iowa
Registered Investment Advisory firm - Iowa (11/30/2022 Approved)
Utah
Registered Investment Advisory firm - Utah (3/8/2023 Approved)

Contact Information

Main Address

3355 N. University Ave., Ste. 150, Provo, UT 84604

Phone Number

(801) 374-6393

# of Employees

2

Documents

Latest Form ADV
0

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) 12/2022 - Cole Financial Advisors, Inc. - DBA for LPL Business (entity for LPL business) - Inv. Related - Provo, Utah 2) 12/2022 - INNOVATIVE MORTGAGE ALLIANCE - Mortgage/Real Estate Services - Inv. Related - 2401 S 450 EAST SUITE F1 DRAPER UT 84020 - Licensed mortgage of officer - Start Date 11/25/2020 - 5hrs/month 3) 3/10/2023 - Cole Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 160 Hours Per Month/80 Hours During Securities Trading - Time Spent 99% - I provide investment advisory services through Cole Financial Advisors, Inc., an independent investment advisor firm. I started this business activity in 1/2012. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 3/10/2023 - Cole Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date - 01/02/2012 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 99%

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(3/6/2023)
IAR
Arizona
(3/9/2023)
RR
California
(3/6/2023)
RR
Colorado
(3/6/2023)
RR
Connecticut
(3/6/2023)
RR
Florida
(3/6/2023)
RR
Idaho
(3/6/2023)
RR
Illinois
(3/6/2023)
RR
Iowa
(3/6/2023)
IAR
Iowa
(3/6/2023)
RR
Kentucky
(3/6/2023)
RR
Maine
(3/6/2023)
RR
Massachusetts
(3/6/2023)
RR
Minnesota
(3/6/2023)
RR
Montana
(3/6/2023)
RR
Utah
(3/6/2023)
IAR
Utah
(3/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2012About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 2012About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2012About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Christopher H Cole's CRS (Customer Relationship Summary).

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