Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
Cole Remington Hogsett
Cole R Hogsett, Cole Hogsett
CRD#: 6664491
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 6400 S FIDDLERS GREEN CIR
GREENWOOD VILLAGE, CO 80111
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Alabama 11/5/2018
B
Montana 11/5/2018
B
Alaska 1/10/2022
B
Nebraska 11/5/2018
B
Arizona 11/5/2018
B
Nevada 11/5/2018
B
Arkansas 1/10/2022
B
New Hampshire 1/10/2022
B
California 10/15/2018
B
New Jersey 11/5/2018
B
Colorado 11/6/2017
B
New Mexico 11/5/2018
IA
Colorado 11/6/2017
B
New York 11/5/2018
B
Connecticut 1/10/2022
B
North Carolina 11/5/2018
B
Delaware 1/10/2022
B
North Dakota 1/10/2022
B
District of Columbia 8/2/2021
B
Ohio 11/5/2018
B
Florida 11/5/2018
B
Oklahoma 1/10/2022
B
Georgia 11/5/2018
B
Oregon 11/5/2018
B
Hawaii 11/5/2018
B
Pennsylvania 11/5/2018
B
Idaho 11/5/2018
B
Puerto Rico 1/10/2022
B
Illinois 11/5/2018
B
Rhode Island 11/5/2018
B
Indiana 11/5/2018
B
South Carolina 11/5/2018
B
Iowa 11/5/2018
B
South Dakota 8/6/2021
B
Kansas 11/5/2018
B
Tennessee 11/5/2018
B
Kentucky 11/5/2018
B
Texas 11/5/2018
B
Louisiana 11/5/2018
IA
Texas 11/5/2018
B
Maine 1/10/2022
B
Utah 11/5/2018
B
Maryland 11/5/2018
B
Vermont 1/10/2022
B
Massachusetts 11/5/2018
B
Virginia 11/5/2018
B
Michigan 11/5/2018
B
Washington 11/5/2018
B
Minnesota 11/5/2018
B
West Virginia 11/5/2018
B
Mississippi 11/5/2018
B
Wisconsin 11/5/2018
B
Missouri 11/5/2018
B
Wyoming 11/5/2018

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6400 S FIDDLERS GREEN CIR, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 11/6/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6400 S FIDDLERS GREEN CIR, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 9/26/2017
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.