Robert J. Cole
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.
Robert John Cole JR, who also goes by Bob Cole, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 5 firms and has passed the Series 63, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2010 - January 10, 2019
FINANCIAL ARCHITECTS, INC
October 20, 1987 - July 17, 1989
C.A.L. INVESTMENT SERVICES INC.
November 24, 1984 - January 14, 2003
MML INVESTORS SERVICES, LLC
February 18, 1982 - September 27, 1984
PRUCO SECURITIES, LLC.
June 14, 1981 - September 27, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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
Series 62
Date: 6/22/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
FINANCIAL ARCHITECTS, INC
CRD#: 145549 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 65,034,515 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
