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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 Cole is a financial advisor based in Tempe, Arizona. Douglas has over 40 years of experience in the financial services industry. Douglas currently works with Cetera Investment Advisers LLC. Douglas is a registered representative and investment advisor representative in Arizona and Indiana. Douglas is also licensed in several other states. Douglas has earned a number of professional designations, including Series 7, Series 63, and Series 66. Douglas is committed to providing his clients with personalized financial advice and guidance. Douglas specializes in retirement planning, investment management, and estate planning.
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.
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2
AZ
04/01/2024 - Present
Cetera Investment Advisers LLC (TEMPE AZ)
AZ
01/02/2009 - 04/26/2010
NATIONAL PLANNING CORPORATION (PHOENIX AZ)
AZ
10/31/2005 - 12/31/2008
AIG FINANCIAL ADVISORS, INC. (PHOENIX AZ)
AZ
05/19/1992 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
12/13/1989 - 05/19/1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
AZ
11/19/1989 - 12/15/1989
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
09/07/1984 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
06/23/1982 - 09/10/1984
INVESTMENT MANAGEMENT & RESEARCH, INC
BC
Issued 8/13/2014
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 2/18/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 9/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/31/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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