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Registered advisor
R•••••• E••• C•••
Feed of 09/15/2026
Also filed as Rich Cole
At current firm
12 y
since Nov 25, 2013
In the industry
27 y
since Dec 31, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 25, 2013 · Tyler, Tx
- L•• F•••••••• L•• BD affiliatedAug 5, 2008 to Dec 16, 2013 · Mckinney, Tx
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Aug 6, 2008 · Mckinney, Tx
- 1••• C•••••• M••••••••• C•••••• unclassifiedJun 9, 2005 to Aug 1, 2008 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 16, 2013, registered Nov 25, 2013 (-21 days) · Other
- N••••••••• S••••••••• L•• to L•• F•••••••• L••left Aug 6, 2008, registered Aug 5, 2008 (-1 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address