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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Cole is a financial advisor with Regal Investment Advisors LLC. Lee has been in the industry since 2009 and is registered with the state of Michigan. Prior to joining Regal Investment Advisors LLC, Lee was a financial advisor at Regulus Advisors, LLC, Bluerock Capital Markets LLC, EDI Financial, Inc., First Trust Portfolios L.P., Royal Alliance Associates, Inc., United Securities Alliance, Inc., Natcity Investments, Inc., and Waddell & Reed, Inc. Lee holds the Series 7, 63, and 65 licenses, as well as the Securities Industry Essentials (SIE) exam. Lee specializes in financial planning, pension consulting, and portfolio management. Lee is also a registered investment advisor and holds a bachelor's degree in finance from the University of Michigan.
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.
Third party fees
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2
MI
08/18/2015 - Present
Regal Investment Advisors LLC (KENTWOOD MI)
MI
08/14/2015 - 04/12/2016
REGULUS ADVISORS, LLC (KENTWOOD MI)
NY
01/02/2015 - 07/31/2015
BLUEROCK CAPITAL MARKETS LLC (NEW YORK NY)
MI
07/22/2013 - 12/31/2014
EDI FINANCIAL, INC. (LANSING MI)
IL
02/13/2008 - 02/24/2009
FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)
MI
03/01/2007 - 02/07/2008
ROYAL ALLIANCE ASSOCIATES, INC. (GRAND RAPIDS MI)
MI
03/02/2006 - 03/01/2007
UNITED SECURITIES ALLIANCE, INC. (GRAND RAPIDS MI)
OH
02/28/2005 - 07/08/2005
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
KS
06/04/2004 - 11/23/2004
WADDELL & REED, INC. (OVERLAND PARK KS)
IA
Issued 05/30/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/2013
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 07/05/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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