Douglas Cole
Douglas Cole is a registered investment advisor at Cetera Investment Advisers LLC, based in Tempe, AZ, with 43 years of industry experience. Douglas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
950 W Elliot Rd, Suite 126, Tempe, AZ, 85284
Get directionsHistory
Regulatory History (2)
Judgment / Lien
June 2010Customer Dispute
August 2009Other Business ActivitiesSells Insurance
Douglas is an insurance agent selling life insurance and annuities, dedicating a few hours per week. He also works as an assistant facilitator at West Valley Counseling Center and as an analyst/advisor for Wilde Wealth Management, dedicating about a quarter of his time to the latter.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Cetera Advisors LLC
Previous Registrations
Cetera Advisors LLC
Wealth Management International, LTD.
The Planners Network, INC.
National Planning CorporationBroker
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
Anchor National Financial Services, INC.Broker
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
Investment Management & Research, INCBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.