Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cole? Claim Your ProfileCole Conner is a financial advisor with TD Private Client Wealth LLC, specializing in providing financial planning and portfolio management for individuals and businesses. Cole has been in the financial services industry since 2006. Cole is registered in North Carolina as an investment advisor representative and also holds Series 7, 63, 66, 24, 4, 55, and 99TO licenses. Cole has worked with LPL Financial LLC and Wells Fargo Advisors, LLC in the past.
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.
A percentage of the total value of assets under management is charged.
1
2
NC
07/19/2022 - Present
TD Private Client Wealth LLC (Charlotte NC)
SC
09/26/2012 - 07/20/2022
LPL FINANCIAL LLC (FORT MILL SC)
NC
04/09/2009 - 09/20/2012
WELLS FARGO ADVISORS, LLC (CONCORD NC)
NC
07/31/2008 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
08/18/2006 - 07/10/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
BOTH
Issued 07/02/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/2008
Series 4 - Registered Options Principal Examination
BC
Issued 02/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/17/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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