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Thomas Cole

USA Financial Securities LLC

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About Thomas Cole

Thomas Cole is a financial advisor with over 3 years of experience in the industry. He is registered with USA Financial Securities LLC and has a Series 7TO, Series 66, and SIE license. Thomas specializes in providing financial planning and portfolio management services to individuals and businesses. He also has experience in selecting other advisors for clients. Prior to joining USA Financial Securities LLC, Thomas was registered with INFINEX INVESTMENTS, INC. and PRINCIPAL SECURITIES, INC.

Firm Information

Thomas Cole is currently registered with USA Financial Securities LLC. USA Financial Securities LLC is an Approved Limited Liability Company formed on July 3, 2024. Based in ADA, MI, USA, they provide financial planning and portfolio management services for individuals, high-net-worth individuals, and corporations. The firm is registered with the SEC and in all 51 states and has over 160 licensed agents, investment advisor representatives, and registered representatives. With a total of 1,395 accounts under management, they oversee $268,691,644 in regulatory assets.
USA Financial Securities LLC

6020 EAST FULTON STREET

ADA, MI 49301

$268.69M

Assets Under Management

265

Total Clients

139

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Cole’s Registration & Firm History

MI

09/01/2021 - Present

USA Financial Securities LLC (ADA MI)

MI

12/04/2019 - 08/30/2021

INFINEX INVESTMENTS, INC. (PORTAGE MI)

MI

10/09/2019 - 11/18/2019

PRINCIPAL SECURITIES, INC. (Lansing MI)

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Licenses & Designations

BOTH

Issued 10/28/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/09/2019

Series 7TO - General Securities Representative Examination

BC

Issued 06/14/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Cole.
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