Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Paul Cole is a financial advisor with over 27 years of experience in the industry. James Paul Cole is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and previously held registrations with MORGAN STANLEY DW INC., AXA ADVISORS, LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES and OPPENHEIMER & CO., INC.. James Paul Cole holds several licenses and designations including Series 7, Series 10, Series 31, Series 63 and Series 65. James Paul Cole specializes in providing advisory services to individuals, businesses, and institutional 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
07/12/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SHORT HILLS NJ)
NY
09/25/2000 - 10/04/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/13/1997 - 10/02/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
06/16/1997 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
01/01/1997 - 05/30/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
04/08/1996 - 12/16/1996
MAIDSTONE FINANCIAL, INC. (NEW YORK NY)
IA
Issued 06/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/26/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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