Douglas Cole is a registered investment advisor at LPL Financial LLC, based in Carlsbad, CA, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2888 Loker Ave E Ste 316, Carlsbad, CA, 92010
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Regulatory History (1)
Criminal
August 1986Other Business Activities
Douglas operates as Cole Financial Inc., a DBA for his LPL business, since 2014. This activity takes up all of Douglas's time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cole Financial, LLC
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
Cole Financial, LLC
Sentra Securities CORP
Sentra Securities CorporationBroker
Morgan Stanley Dw INC.Broker
Painewebber IncorporatedBroker
Salomon Smith Barney INC.Broker
Lincoln Financial Advisors CorporationBroker
Lincoln Financial Advisors CorporationBroker
The Lincoln National Life Insurance CompanyBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations7 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.