Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KEVIN CHARLES COLE
KEVIN C COLE
CRD#: 1150120
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 11650 LANTERN ROAD
SUITE 219
FISHERS, IN 46038
SUITE 219
FISHERS, IN 46038
View By:
5/8/2006
Customer Dispute
Settled
3/28/2006
Customer Dispute
Settled
State Registrations
B
Florida 2/7/2014
B
North Carolina 4/6/2021
IA
Florida 2/7/2014
IA
North Carolina 4/6/2021
B
Illinois 2/20/2013
B
Ohio 7/26/2021
IA
Illinois 4/5/2018
IA
Ohio 7/26/2021
B
Indiana 10/8/2010
B
Texas 11/8/2017
IA
Indiana 10/14/2010
IA
Texas 11/8/2017
IA
Kentucky 9/25/2018
IA
Texas 2/4/2025
B
Kentucky 9/26/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/4/2025
IA
Registered with this firm since 10/14/2010
B
Registered with this firm since 2/4/2025
B
Registered with this firm since 10/7/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/04/2009 - 04/13/2010 | INDIANAPOLIS, IN | |
B | 02/17/2009 - 04/13/2010 | INDIANAPOLIS, IN | |
IA | 08/11/2008 - 12/02/2008 | LAFAYETTE, IN | |
B | 08/08/2008 - 12/02/2008 | LAFAYETTE, IN | |
IA | 09/20/2007 - 08/12/2008 | LAFAYETTE, IN | |
B | 09/10/2007 - 08/12/2008 | LAFAYETTE, IN | |
IA | 02/27/2006 - 08/17/2007 | CARMEL, IN | |
B | 02/27/2006 - 08/17/2007 | CARMEL, IN | |
IA | 01/17/2006 - 02/16/2006 | INDIANAPOLIS, IN | |
B | 01/17/2006 - 02/16/2006 | INDIANAPOLIS, IN | |
IA | 09/05/2003 - 01/09/2006 | INDIANAPOLIS, IN | |
B | 09/05/2003 - 01/09/2006 | PURCHASE, NY | |
B | 02/25/2003 - 09/10/2003 | PHILADELPHIA, PA | |
IA | 11/01/2001 - 10/15/2002 | INDIANAPOLIS, IN | |
B | 09/05/2001 - 10/15/2002 | NEW YORK, NY | |
B | 06/19/2000 - 08/24/2001 | SPRINGFIELD, MA | |
B | 06/19/2000 - 08/24/2001 | NEW YORK, NY | |
B | 05/03/1999 - 07/07/2000 | COLUMBUS, OH | |
B | 12/13/1994 - 04/27/1999 | PHILADELPHIA, PA | |
B | 10/15/1993 - 04/07/1998 | WINDSOR, CT | |
B | 12/04/1990 - 02/13/1996 | FORT WAYNE, IN | |
B | 12/04/1990 - 06/21/1995 | FORT WAYNE, IN | |
B | 06/19/1983 - 10/15/1993 | HARTFORD, CT |
For additional information about investment advisers or broker-dealers, please visit
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.