GC
Garrett L. Cole
SHUFRO, ROSE & CO.
New York, NY 10022
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CRD#: 7486697
GC
Professional summary
Garrett Lawton Cole, who also goes by Garrett Cole, is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.
Garrett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Garrett has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Garrett 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.
Outside Employment; Outside Employment; Kimberlee M. O. LLC; Other; 3513 Concord Pike, , Wilmington, DE, 19803; Investment-Related; 01/03/2022; 60 during trading hours; 60 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Garrett Lawton Cole'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®
NoneExperience
Current
December 2, 2024 - Present
SHUFRO, ROSE & CO., LLC
Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022RIA
CRD#: 3403
New York, NY
Past
March 28, 2023 - October 30, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Wilmington, DE
Past
August 22, 2022 - October 30, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Wilmington, DE
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".
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
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
Delaware(12/2/2024)
IAR
New York(12/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
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Contact information
Main Address
600 Lexington Avenue 15th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 754-5100
Established
New York since 04/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
27
SEC notice filing (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEIT, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 818707 |
| SHUFRO, EDWARD GEORGE | SENIOR MANAGING DIRECTOR, CEO | 422885 |
| CONTANT, JOHN MARINUS | SENIOR MANAGING DIRECTOR | 2810876 |
| GLASS, STEVEN JEFFREY | SENIOR MANAGING DIRECTOR, CFO, FINOP | 1756153 |
| WACHT, HARVEY | SENIOR MANAGING DIRECTOR | 456036 |
| EDWARDS, MYLES JOSHUA IV | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL | 2040332 |
| KAMINSKY, TONIA | SENIOR MANAGING DIRECTOR | 4134855 |
| SHUFRO, GREGORY DAVID | SENIOR MANAGING DIRECTOR | 4718283 |
Regulatory assets under management
| Total Number of Accounts | 1,338 |
| AUM (Assets Under Management) | $ 2,165,482,981 |
Disclosures
| Regulatory Event | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2024 | ||
| 06/14/2023 |
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.
