George W. Cole

PROSPERITY CAPITAL ADVISORS

Southport, NC

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CRD#: 846724

Professional summary

George William Cole, CFP®, who also goes by Bill Cole, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Southport, North Carolina.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. George has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill 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.

1) Mr. Cole is a licensed insurance agent conducting business from his registered location. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Cole spends approx. 10 hrs/week during trading hours on this activity. 2) Bill Cole is the Co-Owner of Heritage Advisory Group, Inc. d.b.a. Heritage Group of Companies which is the operating entity for Mr. Cole's advisory and insurance business. Mr. Cole spends approximately twenty five hours per week during trading hours working under this entity. 3) Bill Cole is on the Board of Trustees with Calvary Church in Southport, NC. Mr. Cole spends approximately 20 hours per month on the activity. This is not an investment related activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George William Cole'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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

November 28, 2017 - Present

PROSPERITY CAPITAL ADVISORS

RIA

CRD#: 156480

Southport, NC

Past

February 21, 2013 - November 1, 2017

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

TOMS RIVER, NJ

Past

February 21, 2013 - January 2, 2018

HERITAGE ADVISORY GROUP, INC.

RIA

CRD#: 125633

TOMS RIVER, NJ

Past

February 19, 2013 - November 1, 2017

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

TOMS RIVER, NJ

Past

November 12, 2009 - February 22, 2013

GRANT WILLIAMS L.P.

RIA

CRD#: 45961

TOMS RIVER, NJ

Past

November 12, 2009 - February 22, 2013

GRANT WILLIAMS L.P.

CRD#: 45961

TOMS RIVER, NJ

Past

May 20, 2005 - December 31, 2012

HERITAGE ADVISORY GROUP, INC.

RIA

CRD#: 125633

TOMS RIVER, NJ

Past

September 29, 2003 - November 4, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

TOMS RIVER, NJ

Past

May 31, 1996 - November 4, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

TOMS RIVER, NJ

Past

April 18, 1995 - May 31, 1996

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

January 25, 1990 - April 24, 1995

WORLD INVESTMENTS, LLC

CRD#: 20626

LINCROFT, NJ

Past

November 19, 1989 - January 31, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 9, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 5, 1979 - August 19, 1985

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

Past

December 20, 1977 - February 2, 1983

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

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".

PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA

Registered Investment Advisory firm - (3/22/2011 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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(11/28/2017)

IAR

North Carolina
(1/26/2022)

IAR

Texas
(8/19/2022)

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

Series 63

Date: 2/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/12/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/1989

General Securities Principal Examination

Current Firm

PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA

Registered Investment Advisory firm - (3/22/2011 Approved)

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Contact information

Main Address

30400 Detroit Road Suite 201, Westlake, OH 44145

Mailing Address

Phone number

(888) 240-0064

Established

Firm type

Fiscal year end

# of Employees

202

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,823
AUM (Assets Under Management)	$ 3,684,966,200

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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George W. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George William Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

HERITAGE ADVISORY GROUP, INC.

NEXT FINANCIAL GROUP, INC.

GRANT WILLIAMS L.P.

GRANT WILLIAMS L.P.

HERITAGE ADVISORY GROUP, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CINCINNATI ANALYSTS, INC.

WORLD INVESTMENTS, LLC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CARDELL & ASSOCIATES, INCORPORATED

INDEPENDENT FINANCIAL PLANNERS CORPORATION

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 2/10/1986

SIE

Date: 11/1/2017

Series 7

Date: 9/21/1985

Series 1

Date: 12/12/1977

Series 24

Date: 6/2/1989

Current Firm

PROSPERITY CAPITAL ADVISORS

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY CAPITAL ADVISORS

TRUST BUT VERIFY

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