Albert L. Coles
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.
Albert Leonard Coles JR, who also goes by Albert Leonard Coles, was a registered financial advisor .
Albert is a previously registered financial advisor and started their career in finance in 1980. Albert had worked at 3 firms and has passed the Series 3 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
April 1, 1994 - March 25, 2009
FINANCIAL DESIGN ASSOCIATES INC
April 29, 1987 - April 25, 1989
CAREY JAMISON & COMPANY
August 19, 1980 - February 7, 1987
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
No current employment
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.
