Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mercedes? Claim Your ProfileMercedes Cole is a financial advisor with Principal Securities, Inc., a well-established financial firm with a strong track record in the industry. With over two decades of experience in the financial services industry, Mercedes has a deep understanding of investment strategies and market trends. She is also a licensed investment advisor and has earned various professional certifications including the Series 6, 7, 63 and 65 exams. Mercedes is passionate about helping individuals and families achieve their financial goals and provides comprehensive financial planning services tailored to each client's unique needs.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
03/14/2022 - Present
Principal Securities, Inc. (DES MOINES IA)
DC
10/09/2007 - 11/05/2008
MMC SECURITIES CORP. (WASHINGTON DC)
NY
10/31/1994 - 12/12/1995
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
NY
03/22/1994 - 09/20/1994
GREENWAY CAPITAL CORP. (NEW YORK CITY NY)
NY
05/28/1993 - 04/06/1994
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 03/29/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/28/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/14/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/11/2022
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/27/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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