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CFP
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CFP

Carrie Cole

Spc
39 Years of Experience
Livonia, MI
1 DisclosureBrokerSells Insurance
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Carrie Cole is a CFP-designated registered investment advisor at Spc, based in Livonia, MI, with 39 years of industry experience. Carrie is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 30,916 clients with $6.1B in assets under management.

Spc
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
474 advisors
Number of Clients
30,916 clients
Average Client Portfolio
$197K average
Assets Under Management
$6.1B

Fee Structure

Minimum Investment:$5.5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum annual advisory fee is 2.50%. Advisors set their own rates for each account up to this maximum limit. A 0.15% program fee is included within the total fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Livonia, MI

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2012
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
May 2012 - Present · 14 yrs 5 mos
Sigma Financial CorporationBroker
April 2012 - Present · 14 yrs 6 mos
Previous Registrations
Berthel Fisher & Company Financial Services, INC.
August 2010 - May 2012 · 1 yr 9 mos
Berthel, Fisher & Company Financial Services, INC.Broker
July 2010 - May 2012 · 1 yr 10 mos
Questar Asset Management, INC.
April 2010 - July 2010 · 3 mos
Questar Capital CorporationBroker
June 2001 - July 2010 · 9 yrs 1 mo
Vestax Securities CorporationBroker
December 1998 - December 1998 · 0 mos
Harbour Investments, INC.Broker
January 1996 - June 2001 · 5 yrs 5 mos
Mimlic Sales CorporationBroker
June 1993 - January 1996 · 2 yrs 7 mos
Intersecurities, INC.Broker
September 1991 - December 1993 · 2 yrs 3 mos
Pebsco Securities CORP.Broker
July 1990 - October 1991 · 1 yr 3 mos
Reliastar Financial Marketing CORP.Broker
November 1989 - July 1990 · 8 mos
Financial Network Investment CorporationBroker
March 1989 - June 1989 · 3 mos
Mutual Service CorporationBroker
January 1987 - December 1988 · 1 yr 11 mos
State Registrations3 states
FLKYMI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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