Carrie Cole is a CFP-designated registered investment advisor at Spc, based in Ann Arbor, MI, with 38 years of industry experience. Carrie operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
300 Parkland Plaza, Ann Arbor, MI, 48103
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Regulatory History (1)
Customer Dispute
November 2012Other Business ActivitiesSells Insurance
Carrie operates under the DBA Trademark Investments, offering financial services, dedicating nearly full-time hours to this endeavor. She also sells various lines of insurance and is an owner of Smart Divorce Planning, spending minimal time as a divorce advisor.
Employment History
Current Registrations
Spc
Sigma Financial CorporationBroker
Previous Registrations
Berthel Fisher & Company Financial Services, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
Questar Asset Management, INC.
Questar Capital CorporationBroker
Vestax Securities CorporationBroker
Harbour Investments, INC.Broker
Mimlic Sales CorporationBroker
Intersecurities, INC.Broker
Pebsco Securities CORP.Broker
Reliastar Financial Marketing CORP.Broker
Financial Network Investment CorporationBroker
Mutual Service CorporationBroker
State Registrations3 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.