William R. Cole

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CRD#: 714542

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.

William Raymond Cole, who also goes by William R Cole, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1980. William had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William R 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 10, 2011 - March 20, 2020

NEW HARBOR FINANCIAL GROUP, LLC

RIA

CRD#: 155528

LEOMINSTER, MA

Past

January 3, 2011 - December 31, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

LEOMINSTER, MA

Past

January 20, 2005 - December 31, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

LEOMINSTER, MA

Past

January 14, 2005 - December 31, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

LEOMINSTER, MA

Past

February 2, 2004 - February 8, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WORCESTER, MA

Past

August 25, 1980 - February 8, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW HARBOR FINANCIAL GROUP, LLC

NEW HARBOR FINANCIAL GROUP LLC | NEW HARBOR FINANCIAL GROUP, LLC

CRD#: 155528 / SEC#: 801-72007

RIA

Registered Investment Advisory firm - (12/21/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 11/11/1982

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/16/1980

General Securities Representative Examination

Current Firm

NEW HARBOR FINANCIAL GROUP, LLC

NEW HARBOR FINANCIAL GROUP LLC | NEW HARBOR FINANCIAL GROUP, LLC

CRD#: 155528 / SEC#: 801-72007

RIA

Registered Investment Advisory firm - (12/21/2010 Approved)

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Contact information

Main Address

146 Main Street Suite 302, Worcester, MA 01608

Mailing Address

Phone number

(978) 537-7701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEW HARBOR FINANCIAL DISCLOSURE BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	2,012
AUM (Assets Under Management)	$ 576,915,016

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.

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Advisor Monitoring

Firm Stability Insights

William R. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NEW HARBOR FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/1994

Series 63

Date: 9/3/1980

Series 15

Date: 11/11/1982

Series 5

Date: 12/12/1981

Series 7

Date: 8/16/1980

Current Firm

NEW HARBOR FINANCIAL GROUP, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW HARBOR FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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