Cole D. Batchelor

ALLOY INVESTMENT MANAGEMENT

HUNTERSVILLE, NC 28078

CRD#: 7260871

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Professional summary

Cole David Batchelor, who also goes by Cole Batchelor, is a registered financial advisor currently at ALLOY INVESTMENT MANAGEMENT located in Huntersville, North Carolina.

Cole is registered as an IAR (Investment Advisor 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 Batchelor

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) - RIA

Click below to view Cole David Batchelor'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 4, 2026 - Present

ALLOY INVESTMENT MANAGEMENT

Office #1: 7930 W Kenton Cir Suite 120, Huntersville, NC 28078

RIA

CRD#: 306227

HUNTERSVILLE, NC

Past

May 9, 2024 - May 28, 2026

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Charlotte, NC

Past

April 29, 2024 - May 28, 2026

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

November 11, 2021 - May 6, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

October 7, 2021 - May 6, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/4/2026)

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 66

Date: 11/10/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/7/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/2/2021

Securities Industry Essentials Examination

Current Firm

ALLOY INVESTMENT MANAGEMENT

ALLOY INVESTMENT MANAGEMENT | ALLOY WEALTH MANAGEMENT INC | ALLOY WEALTH HOLDINGS LLC

CRD#: 306227 / SEC#:

Georgia

Registered Investment Advisory firm - (2/10/2025 Terminated)

New York

Registered Investment Advisory firm - (2/2/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (3/19/2020 Approved)

South Carolina

Registered Investment Advisory firm - (6/16/2020 Approved)

Texas

Registered Investment Advisory firm - (11/1/2021 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (5/23/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

631 Augusta St, Greenville, SC 29605

Mailing Address

Phone number

(800) 689-3935

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Cole D. Batchelor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLOY INVESTMENT MANAGEMENT

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2021

Series 7TO

Date: 10/7/2021

SIE

Date: 9/2/2021

Current Firm

ALLOY INVESTMENT MANAGEMENT

Contact information

Documents

Red Flags

Company Information

ALLOY INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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