Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Herbert Cole Jr. is a financial advisor registered with Cambridge Investment Research Advisors, Inc. with a license number 1396223. Charles has over 35 years of experience in the financial services industry. He is a licensed securities professional and has passed the Uniform Securities Agent State Law Examination, the Uniform Combined State Law Examination and the General Securities Principal Examination. Charles offers a variety of financial services, including financial planning, portfolio management, and investment advisory services. He works with both individuals and businesses, and he is committed to helping his clients reach their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
OH
03/13/2020 - Present
Cambridge Investment Research Advisors, Inc. (Cincinnati OH)
OH
08/18/2011 - 03/13/2020
PRIVATE CLIENT SERVICES, LLC (CINCINNATI OH)
OH
03/26/2010 - 08/19/2011
SIGNATOR INVESTORS, INC. (CINCINNATI OH)
OH
06/11/2007 - 03/29/2010
THE O.N. EQUITY SALES COMPANY (CINCINNATI OH)
OH
06/09/2003 - 06/19/2007
HORNOR, TOWNSEND & KENT, INC. (CINCINNATI OH)
WI
12/21/2001 - 05/30/2003
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
OH
03/27/1999 - 01/02/2002
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
OH
12/04/1997 - 03/27/1999
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
IA
09/13/1996 - 11/12/1997
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
MA
01/03/1996 - 08/13/1996
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MN
11/15/1993 - 12/31/1995
FORTIS INVESTORS, INC. (OAKDALE MN)
WI
06/13/1990 - 12/23/1991
SENTRY EQUITY SERVICES, INC. (STEVENS POINT WI)
IN
09/19/1989 - 06/29/1990
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
09/19/1989 - 06/29/1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NA
09/23/1987 - 09/28/1989
MONARCH SECURITIES, INC.
NA
09/12/1985 - 09/28/1989
MONARCH SECURITIES, INC.
NA
06/11/1986 - 01/08/1987
NEW ENGLAND SECURITIES CORPORATION
BOTH
Issued 10/09/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1998
Series 7 - General Securities Representative Examination
BC
Issued 09/11/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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