Scott A. Cole
BANKERS LIFE SECURITIES
Greensboro, NC 27401
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CRD#: 6459637
Professional summary
Scott Andrew Cole, who also goes by Scott Cole, is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Greensboro, North Carolina.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2015. Scott has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Biography
Scott's work and expertise has been widely recognized throughout the country. He is an Adjunct Instructor in Retirement Planning for the University of Alabama. He has been quoted in The Wall Street Journal, Money Magazine, Investment News, Washington Post, ABCNews.com and many more.
For 10 years, he was the financial expert on WVTM 13, airing a weekly personal finance segment. He is a frequent guest on a local radio news program and has written regularly as a columnist for a couple of local news publications. Scott has also helped create the collaborative professional movement within Alabama. He is a member of the International Academy of Collaborative Professional and a member of the first collaborative practice group in the state of Alabama, the Birmingham Collaborative Alliance.
In 2004, Scott was awarded the Jack Davis Award for Professional Achievement by the University of Alabama.
Scott currently lives in the metro Birmingham area with his wife Tracy and two daughters.
Question & Answer
What are your service offerings?
Cole Financial Planning is a f...
The firm focuses on people fro...
Do you have an area of expertise or specialization?
Federal Employees
Hourly
Investment Advice with Ongoing...
Middle Income Client Needs
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Are you a "fiduciary"?
No
Aliases
Scott Cole
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew 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
May 26, 2016 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 400 Bellemeade Street Ste 501, Greensboro, NC 27401BD
CRD#: 173962
Greensboro, NC
Past
May 14, 2015 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
GREENSBORO, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
North Carolina(5/26/2016)
RR
Virginia(5/26/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BL
BANKERS LIFE SECURITIES, INC.
BANKERS LIFE | BL SECURITIES, INC. | BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
303 E Wacker Drive 5th Fl, Chicago, IL 60601
Mailing Address
303 E. Wacker Drive 5th Fl, Chicago, IL 60601
Phone number
(844) 553-9083
Established
Indiana since 07/31/2014
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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Company Information
BANKERS LIFE SECURITIES, INC.
CRD#: 173962Greensboro, NC 27401TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
