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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Wayne Cole is a financial advisor with LPL Financial LLC. Cole has over 28 years of experience in the financial industry. Cole holds Series 6, 7, 24, 52, 53, and 63 licenses and the SIE exam certification. Cole also holds the Series 65 certification. Cole has a history of working for several financial institutions, including Sagepoint Financial, Inc., Sentra Securities Corporation, Morgan Stanley DW Inc., PaineWebber Incorporated, Salomon Smith Barney Inc., and The Lincoln National Life Insurance Company. Cole is registered to provide financial advice in Arizona, California, Idaho, North Carolina, Texas, and Utah. Cole is also registered to provide investment advice in California and Texas. Cole specializes in providing financial advice to individuals, corporations, other businesses, pension and profit-sharing plans, charitable organizations, and high-net-worth individuals.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
01/08/2020 - Present
LPL Financial LLC (CARLSBAD CA)
CA
10/31/2005 - 01/13/2020
SAGEPOINT FINANCIAL, INC. (CARLSBAD CA)
AZ
12/14/2001 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
NY
04/25/2000 - 12/20/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
11/13/1998 - 04/28/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/23/1997 - 11/18/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
09/08/1994 - 04/21/1997
LINCOLN FINANCIAL ADVISORS CORPORATION
IN
11/03/1993 - 04/21/1997
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
11/03/1993 - 04/21/1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NJ
10/07/1991 - 06/11/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
10/07/1991 - 06/11/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 06/30/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/30/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/19/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/03/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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