Cole M. Gest

RBC ROCHDALE

Cleveland, OH

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CRD#: 7439166

Professional summary

Cole Mathew Gest, who also goes by Cole Matthew Gest, Cole M Gest, Cole Mathew Gest, Cole Gest, is a registered financial advisor currently at RBC ROCHDALE, LLC located in Cleveland, Ohio and CNR SECURITIES, LLC located in Houston, Texas.

Cole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Cole has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cole Matthew Gest | Cole M Gest | Cole Mathew Gest | Cole Gest

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 Mathew Gest's CRS (Customer Relationship Summary).

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

January 9, 2026 - Present

RBC ROCHDALE, LLC

RIA

CRD#: 117198

Cleveland, OH

Current

January 9, 2026 - Present

CNR SECURITIES, LLC

Office #1: 1800 West Loop South Suite 1450, Houston, TX 77027

CRD#: 18466

Houston, TX

Past

March 31, 2025 - January 5, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ORANGE, OH

Past

March 1, 2024 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

ORANGE, OH

Past

February 8, 2024 - January 5, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ORANGE, OH

Past

June 17, 2022 - May 1, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, OH

Past

May 16, 2022 - May 1, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, OH

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".

RBC ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 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

IAR

Illinois
(1/16/2026)

IAR

Indiana
(1/9/2026)

IAR

Michigan
(1/13/2026)

Ohio
(1/9/2026)

IAR

Ohio
(1/9/2026)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 6/17/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/16/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/14/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

RBC ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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Contact information

Main Address

400 Park Avenue 10th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 702-3500

Established

Firm type

Fiscal year end

# of Employees

269

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RBC ROCHDALE INDEPENDENT CHANNEL BROCHURE (1/29/2026)

RBC ROCHDALE BANK CHANNEL BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts	42,671
AUM (Assets Under Management)	$ 72,960,498,578

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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 M. Gest

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CNR SECURITIES, LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

RBC ROCHDALE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/17/2022

Series 7TO

Date: 5/16/2022

SIE

Date: 1/14/2022

FINRA

Current Firm

RBC ROCHDALE, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RBC ROCHDALE, LLC

TRUST BUT VERIFY

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