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David Blair Cole
DAVID B COLE
CRD#: 1150117
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1261 POST RD, STE 100
FAIRFIELD, CT 06824
FAIRFIELD, CT 06824
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1261 POST RD, STE 100
FAIRFIELD, CT 06824
FAIRFIELD, CT 06824
0
Disclosures
41
Years of Experience
View By:
State Registrations
B
Arizona 6/10/2021
B
Georgia 1/9/2023
B
Connecticut 6/10/2021
B
Massachusetts 8/26/2024
IA
Connecticut 6/29/2023
B
New York 6/10/2021
B
Florida 6/3/2021
B
North Carolina 6/10/2021
IA
Florida 4/9/2023
IA
North Carolina 11/20/2024
SRO Registrations
B
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IA
Registered with this firm since 4/9/2023
B
Registered with this firm since 6/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/19/2021 - 06/29/2023 | JUPITER, FL | |
IA | 11/18/2008 - 06/14/2021 | FAIRFIELD, CT | |
B | 11/13/2008 - 06/14/2021 | FAIRFIELD, CT | |
IA | 02/28/2005 - 11/11/2008 | FAIRFIELD, CT | |
B | 07/13/1993 - 11/11/2008 | SCOTTSDALE, AZ | |
B | 12/09/1993 - 10/11/2005 | NEW YORK, NY | |
B | 06/19/1983 - 06/25/1993 | HARTFORD, CT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.