Lincoln C. Soule
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.
Lincoln Covert Soule, who also goes by Linc Soule, Lincoln C Soule, was a registered financial professional .
Lincoln is a previously registered financial professional and started their career in finance in 1976. Lincoln had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2010 - May 24, 2011
COLORADO FINANCIAL SERVICE CORPORATION
November 23, 2004 - October 4, 2010
AMERICAN CLASSIC SECURITIES, INC.
June 28, 2002 - July 28, 2004
WOODBURY FINANCIAL SERVICES, INC.
January 5, 2001 - July 3, 2002
AMERICAN CLASSIC SECURITIES, INC.
September 9, 1998 - June 20, 2000
NYLIFE SECURITIES LLC
June 11, 1998 - August 6, 1998
SECURIAN FINANCIAL SERVICES, INC.
October 24, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1996 - January 7, 1998
SIGNATOR INVESTORS, INC.
November 15, 1993 - April 12, 1996
PRINCIPAL SECURITIES, INC.
February 19, 1993 - September 28, 1993
NEW ENGLAND SECURITIES
March 6, 1990 - January 1, 1993
PRINCIPAL SECURITIES, INC.
January 8, 1986 - January 10, 1990
PRINCIPAL SECURITIES, INC.
October 12, 1982 - December 23, 1985
MONY SECURITIES CORPORATION
September 21, 1976 - September 23, 1982
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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 1
Date: 9/15/1976
Registered Representative ExaminationCurrent Firm
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
