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Detailed Report
JAMES EDWARD COLE II
JAMES COLE
CRD#: 6241909
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2723 S STATE ST STE 320
ANN ARBOR, MI 48104
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2016 - 2023 (6 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
California 11/6/2024
B
Nebraska 1/2/2025
B
Connecticut 7/5/2024
B
Nevada 8/23/2023
B
District of Columbia 7/5/2024
B
New Hampshire 7/5/2024
B
Florida 6/6/2024
B
New York 11/21/2024
B
Illinois 1/2/2025
B
Oregon 11/19/2024
B
Indiana 7/25/2023
B
South Carolina 11/29/2024
B
Kentucky 7/5/2024
B
Texas 8/22/2023
B
Massachusetts 10/9/2024
IA
Texas 8/22/2023
B
Michigan 7/25/2023
B
Virginia 7/5/2024
IA
Michigan 7/25/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
2723 S STATE ST STE 320, ANN ARBOR, MI 48104
Registered with this firm since 7/25/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2723 S STATE ST STE 320, ANN ARBOR, MI 48104
Registered with this firm since 7/25/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/02/2016 - 07/31/2023 INFINEX INVESTMENTS, INC. (CRD#:35371) Ann Arbor, MI
B
 08/01/2016 - 07/31/2023 INFINEX INVESTMENTS, INC. (CRD#:35371) Ann Arbor, MI
IA
 11/05/2014 - 08/28/2015 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) BRYAN, OH
B
 11/03/2014 - 08/28/2015 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) BRYAN, OH
IA
 06/25/2014 - 10/17/2014 CCO INVESTMENT SERVICES CORP. (CRD#:39550) SYLVANIA, OH
B
 06/25/2014 - 10/17/2014 CCO INVESTMENT SERVICES CORP. (CRD#:39550) SYLVANIA, OH
IA
 11/20/2013 - 06/04/2014 PNC INVESTMENTS (CRD#:129052) TOLEDO, OH
B
 10/08/2013 - 06/04/2014 PNC INVESTMENTS (CRD#:129052) TOLEDO, OH
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.