Cole Gennett

VIRTUS INVESTMENT ADVISERS

NEW YORK, NY 10019

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CRD#: 7221504

Professional summary

Cole Gennett, who also goes by Cole Alexander Gennett, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in New York, New York and VP DISTRIBUTORS LLC located in New York, New York.

Cole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Cole has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cole Alexander Gennett

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.

1. NAME: GENNETT ENTERPRISES, LLC; NOT INVESTMENT RELATED; ADDRESS: 10 GREEN ST., WOODBRIDGE, NJ 07095; NATURE OF BUSINESS: REAL ESTATE; POSITION: MEMBER; START DATE: 06/01/2025; 10 HRS/MONTH; 0 HRS DEVOTED TO ENTERPRISE DURING SECURITIES TRADING HOURS; REHABILITATION OF REAL ESTATE PROPERTIES. 2. NAME: GENNETT HOLDINGS, LLC; NOT INVESTMENT RELATED; ADDRESS: 444 WEST 35TH ST., NEW YORK, NY 10001; NATURE OF BUSINESS: REAL ESTATE; POSITION: MEMBER; START DATE: 07/01/2025; 10 HRS/MONTH; 0 HRS DEVOTED TO ENTERPRISE DURING SECURITIES TRADING HOURS; REHABILITATION OF REAL ESTATE PROPERTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Gennett'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®

None

Experience

Current

June 26, 2024 - Present

VIRTUS INVESTMENT ADVISERS, LLC

Office #1: 1301 Avenue Of The Americas 34th Floor, New York, NY 10019

RIA

CRD#: 106982

NEW YORK, NY

Current

June 25, 2024 - Present

VP DISTRIBUTORS LLC

Office #1: 1301 Avenue Of The Americas 14th Floor, New York, NY 10019

CRD#: 3036

NEW YORK, NY

Past

March 17, 2022 - January 5, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

February 25, 2022 - January 5, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 30, 2021 - September 16, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(8/5/2024)

IAR

Connecticut
(6/26/2024)

Nevada
(8/5/2024)

New York
(6/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/30/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/5/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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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Firm Stability Insights

Cole Gennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Gennett's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2022

Series 7TO

Date: 6/30/2021

SIE

Date: 12/5/2020

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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