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.
CRD# 3229164
Commonwealth Financial Network
CRD# 5969810
Cambridge Investment Research Advisors, Inc.
CRD# 843581
Financial Guidance Group, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| J.w. Cole Advisors, Inc. | Tampa, FL | Feb 2019 - Current | 5 |
| J.w. Cole Financial, Inc. | Tampa, FL | Feb 2019 - Current | 5 |
| Royal Alliance Associates, Inc. | New Port Richey, FL | Nov 2018 - Feb 2019 | < 1 |
| Signator Investors, Inc. | New Port Richey, FL | May 2016 - Nov 2018 | 2 |
| Transamerica Financial Advisors, Inc. | Columbia City, IN | Dec 2009 - May 2016 | 6 |
| 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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site-
Total Assets Under Management5,736MILLIONS
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Total Number of Accounts25,612ACCOUNTS
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Average Account Value$223,952
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- 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
- Other
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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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