Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Keith Cole is a financial advisor at B. Riley Wealth Advisors, Inc. in Memphis, Tennessee. David has been in the financial services industry since 1993, and holds Series 7, 9, 10, 63, 65, 99TO and SIE licenses. David has a strong background in providing financial advice to individuals, families, and businesses. David is committed to providing his clients with personalized financial advice and helping them achieve 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.
A percentage of the total value of assets under management is charged.
1
2
TN
07/27/2022 - Present
B. Riley Wealth Advisors, Inc. (Memphis TN)
TN
01/27/1999 - 11/21/2008
WACHOVIA SECURITIES, LLC (MEMPHIS TN)
NY
05/07/1993 - 12/04/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/13/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/19/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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