Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Cole is a financial advisor with Advisors Asset Management, Inc. He has been in the financial industry since 1998 and holds a Series 65 license. Mark has a long history of working in the financial services industry. He has experience working at Merrill Lynch, Wachovia Securities, and First Union Capital Markets. In 2010, Mark moved to Advisors Asset Management, Inc., where he currently holds a Series 7 license. Mark’s experience and expertise are valuable assets to 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Supervisor/evaluator to unit investment trusts
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.
A percentage of the total value of assets under management is charged.
1
2
NC
06/01/2010 - Present
Advisors Asset Management, Inc. (Charlotte NC)
VA
06/06/2008 - 06/01/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RICHMOND VA)
VA
10/01/1999 - 06/09/2008
WACHOVIA SECURITIES, LLC (RICHMOND VA)
NC
08/10/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
IA
Issued 06/24/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/22/2024
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/14/2013
Series 24 - General Securities Principal Examination
BC
Issued 04/08/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/08/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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