Cole J. Hyland
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 James Hyland, who also goes by Cole Hyland, Cole James Hyland, was a registered financial professional .
Cole is a previously registered financial professional and started their career in finance in 2017. Cole had worked at 2 firms and has passed the Series 66, Series 86, Series 87, 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
July 31, 2020 - December 19, 2022
CREDIT SUISSE SECURITIES (USA) LLC
July 31, 2020 - December 19, 2022
CREDIT SUISSE SECURITIES (USA) LLC
August 24, 2018 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2018 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2017 - May 29, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2017 - May 29, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
