Lee Cole is a registered investment advisor, based in Kentwood, MI, with 16 years of industry experience.
Location
2687 44th St Se, Kentwood, MI, 49512
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Lee assists his wife with the sale of puppies at Northwind Labradors, dedicating minimal time to this activity. This activity is not investment-related.
Employment History
Current Registrations
Regulus Financial Group, LLCBroker
October 2017 - Present · 8 yrs 7 mos
Regal Investment Advisors LLC
August 2015 - Present · 10 yrs 9 mos
Previous Registrations
Regulus Advisors, LLCBroker
August 2015 - April 2016 · 8 mos
Bluerock Capital Markets LLCBroker
January 2015 - July 2015 · 6 mos
Infinity Capital Management LLC
August 2014 - February 2015 · 6 mos
Edi Financial, INC.Broker
July 2013 - December 2014 · 1 yr 5 mos
Infinity Capital Management LLC
June 2013 - December 2013 · 6 mos
First Trust Portfolios L.P.Broker
February 2008 - February 2009 · 1 yr
Royal Alliance Associates, INC.Broker
March 2007 - February 2008 · 11 mos
United Securities Alliance, INC.
March 2006 - March 2007 · 1 yr
United Securities Alliance, INC.Broker
March 2006 - March 2007 · 1 yr
Natcity Investments, INC.Broker
February 2005 - July 2005 · 5 mos
Waddell & Reed, INC.Broker
June 2004 - November 2004 · 5 mos
State Registrations6 states
GAINMINMPATX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.