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Detailed Report
COLE NORTHROP
CRD#: 7452777
IA
Investment Adviser
B
Broker
STRATEGIC ADVISERS LLCCRD#: 104555 155 SEAPORT BLVD
BOSTON, MA 02210-2698
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 123-127 SOUTH LAKE AVE.
PASADENA, CA 91101
Registration History
Oct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2023 - 2024 (1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2025 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2024 - Present (<1 year)BTD AMERITRADE, INC. (CRD# 7870)2022 - 2023 (1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2024 - 2025 (<1 year)
License(s)

State Registrations

B
Arizona 10/21/2024
B
Nevada 10/21/2024
B
California 6/5/2024
B
Oregon 10/21/2024
IA
California 3/31/2025
B
Utah 9/3/2024
B
Colorado 10/21/2024
B
Washington 6/5/2024
B
Hawaii 10/30/2024

SRO Registrations

B
 FINRA
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
STRATEGIC ADVISERS LLC (CRD#:104555)
155 SEAPORT BLVD, BOSTON, MA 02210-2698
Registered with this firm since 3/31/2025
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
123-127 SOUTH LAKE AVE., PASADENA, CA 91101
PLAYA VISTA, CA
Registered with this firm since 6/5/2024
Previous Registration(s)
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IA
 06/07/2024 - 03/31/2025 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) PASADENA, CA
IA
 07/01/2023 - 06/05/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Bellevue, WA
B
 01/23/2023 - 06/05/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Bellevue, WA
B
 08/01/2022 - 12/31/2023 TD AMERITRADE, INC. (CRD#:7870) Bellevue, WA
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.