Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cole? Claim Your ProfileCole Randall Thompson is a financial professional with over 3 years of experience in the industry. Cole is currently registered with Axos Clearing LLC in Centennial, Colorado, and holds Series 7TO, Series 99TO, and Series 63 licenses. Cole has a strong background in the financial services industry, having previously worked at Wedbush Securities Inc. in Los Angeles, California. Cole is dedicated to providing personalized financial advice and guidance to clients.
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.
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.
1
2
CO
04/26/2024 - Present
Axos Clearing LLC (CENTENNIAL CO)
CA
05/23/2020 - 12/17/2023
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
BC
Issued 11/07/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2023
Series 99TO - Operations Professional Examination
BC
Issued 05/23/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/02/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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