Cole R. Speer
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.
Cole Robert Speer was a registered financial professional .
Cole is a previously registered financial professional and started their career in finance in 2015. Cole had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - June 21, 2021
SIMPLICITY SOLUTIONS, LLC
August 18, 2015 - December 5, 2016
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
July 14, 2015 - December 5, 2016
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
July 10, 2015 - December 19, 2016
LPL FINANCIAL LLC
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
Current Firm
SIMPLICITY SOLUTIONS, LLC
CRD#: 175009 / SEC#: 801-81008
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,118 |
| AUM (Assets Under Management) | $ 3,299,132,977 |
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.
