Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loren? Claim Your ProfileLoren Cole is a financial advisor with RBC Capital Markets, LLC. Loren has been working in the financial industry since December 2000 and has experience working with a variety of clients, including corporations, high-net-worth individuals, and pension and profit-sharing plans. Loren holds the Series 7, Series 66, and SIE licenses. Loren is registered with FINRA and has offices in New York, NY and Wilton, CT.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
NY
02/01/2016 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
12/04/2015 - 02/04/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
NY
04/16/2010 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/02/2002 - 05/11/2010
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
02/23/2001 - 10/14/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
12/07/2000 - 02/14/2001
GABELLI & COMPANY, INC. (RYE NY)
BOTH
Issued 12/12/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2000
Series 7 - General 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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