Individual Firm
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CATHERINE ELIZABETH COLE
CATHERINE E COLE, CATHERINE EL COLE, CATHERINE COLE, CATHY E COLE, CATHY COLE…
CRD#: 1753045
IA
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WELLS FARGO ADVISORSCRD#: 19616 800 REDWOOD HWY
STE 209
MILL VALLEY, CA 94941
STE 209
MILL VALLEY, CA 94941
0
Disclosures
11
Years of Experience
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State Registrations
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California 7/18/2022
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California 3/20/2025
SRO Registrations
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IA
Registered with this firm since 3/20/2025
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Registered with this firm since 4/16/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/12/2002 - 03/28/2003 | NEW YORK, NY | |
B | 07/31/1998 - 11/13/2000 | NEW YORK, NY | |
B | 02/19/1997 - 07/28/1998 | SMITHFIELD, RI | |
B | 05/06/1994 - 01/01/1996 | BOSTON, MA | |
B | 04/13/1994 - 05/10/1994 | SMITHFIELD, RI | |
B | 06/20/1989 - 01/28/1991 | ST. LOUIS, MO |
SMITHFIELD, RI
02/19/1997 - 07/28/1998
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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.