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ROBERT B COLE
BOBBY B COLE
CRD#: 5940537
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1700 Market Street
23rd Floor
Philadelphia, PA 19103
23rd Floor
Philadelphia, PA 19103
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Connecticut 5/3/2013
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New Jersey 5/3/2013
B
Delaware 5/3/2013
B
New York 5/3/2013
B
Maine 11/18/2014
B
Pennsylvania 5/3/2013
B
Maryland 4/18/2016
IA
Pennsylvania 1/31/2024
B
Massachusetts 5/3/2013
B
Rhode Island 5/3/2013
B
New Hampshire 5/3/2013
B
Vermont 3/19/2013
B
New Jersey 3/19/2013
SRO Registrations
B
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Registered with this firm since 5/3/2013
B
Registered with this firm since 3/19/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/03/2012 - 02/08/2013 | RICHMOND, VA | |
B | 10/28/2011 - 10/04/2012 | SHREWSBURY, NJ |
RICHMOND, VA
12/03/2012 - 02/08/2013
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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.
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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.