Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Marie Cole is a financial advisor who has been in the industry since September 25, 1998. Kim is currently registered with Wells Fargo Securities, LLC and has been with the firm since July 16, 2012. Kim's prior experience includes Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Securities LLC. Kim has passed multiple exams including Series 7, Series 52, Series 99TO, and Series 79TO. Kim holds registrations in multiple states, including Alabama, Alaska, Arizona, Arkansas, and California.
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.
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2
GA
07/16/2012 - Present
Wells Fargo Securities, LLC (ATLANTA GA)
GA
11/01/2010 - 04/17/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ATLANTA GA)
GA
07/06/2000 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (ATLANTA GA)
NY
07/05/1994 - 07/11/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
BC
Issued 08/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/16/1999
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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