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Detailed Report
HUGH WILSON COLE III
TRAE COLE
CRD#: 4179993
IA
Investment Adviser
B
Broker
CAPTRUSTCRD#: 175112 4208 SIX FORKS RD
SUITE 1700
RALEIGH, NC 27609
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 4208 SIX FORKS ROAD #1700
RALEIGH, NC 27609
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)IACAPTRUST (CRD# 175112)2015 - Present (9 years)BCAPFINANCIAL SECURITIES, LLC. (CRD# 126291)2008 - Present (16 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2002 - 2007 (5 years)BHARRIS INVESTOR SERVICES LLC (CRD# 42159)2000 - 2002 (2 years)IACAPTRUST FINANCIAL ADVISORS OR... (CRD# 126291)2008 - 2015 (6 years)IAUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2004 - 2007 (3 years)
License(s)

State Registrations

B
California 6/2/2009
B
New Jersey 10/10/2008
B
Delaware 6/1/2018
B
North Carolina 6/4/2008
B
Florida 6/1/2018
IA
North Carolina 4/15/2015
B
Illinois 4/9/2009
B
South Carolina 9/13/2021
B
Maryland 6/1/2018
B
Texas 6/1/2018
B
Massachusetts 6/1/2018
IA
Texas 8/1/2018
B
Michigan 6/1/2018
B
Virginia 6/1/2018
B
Minnesota 6/1/2018
B
Wisconsin 4/9/2009
B
Missouri 8/4/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPTRUST (CRD#:175112)
4208 SIX FORKS RD SUITE 1700, RALEIGH, NC 27609
Registered with this firm since 4/15/2015
B
CAPFINANCIAL SECURITIES, LLC. (CRD#:126291)
4208 SIX FORKS ROAD #1700, RALEIGH, NC 27609
Registered with this firm since 6/4/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/04/2008 - 04/22/2015 CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" (CRD#:126291) RALEIGH, NC
IA
 11/14/2007 - 05/27/2008 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) LEXINGTON, NC
B
 11/13/2007 - 05/27/2008 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) LEXINGTON, NC
IA
 10/20/2004 - 11/13/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) LEXINGTON, NC
B
 08/09/2002 - 11/13/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) LEXINGTON, NC
B
 06/02/2000 - 08/01/2002 HARRIS INVESTOR SERVICES LLC (CRD#:42159) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.