Dorothea ColeCRD Number: 3208277
Current Firm: Transamerica Financial Advisors, Inc.
Dorothea Cole (CRD# 3208277) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Columbia City, IN and has over 20 years of experience in the finance industry.
Ami Investment Management Inc.
Capstone Advisors, LLC
Creative Financial Designs, Inc.
|Transamerica Financial Advisors, Inc.||Columbia City, IN||Dec 2009 - Current||10|
|Merrill Lynch||Charlotte, NC||May 2006 - Dec 2009||3|
|Banc One Securities/jpmorgan Chase||Chicago, IL||Jul 2001 - May 2006||4|
|Smith Barney||Indianapolis, IN||Nov 1996 - Nov 2000||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management1,016MILLIONS
Total Number of Accounts45,703ACCOUNTS
Average Account Value$22,222
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
Investment Advisor Representative with and offering securities and Investment Advisory Services through Transamerica Financial Advisors, Inc. (TFA) Member FINRA, SIPC, and Registered Investment Advisor
TFA and Compass Consulting are not affiliated
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