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Karen Patricia Cole

D.A. Davidson & Co.

Goliad, TX

Seattle, WA

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Current Employers
D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-09-25
WA RA APPROVED 2023-09-25
  • TX RA
    APPROVED
    Since 2023-09-25
  • WA RA
    APPROVED
    Since 2023-09-25

Branch Locations

Goliad, TX • United States

Columbia Center, 701 5Th Avenue Suite 4050, Seattle, WA 98104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St.LOuis MO 02/2017 12/2017
Unemployed Lakehills TX 07/2016 01/2017
Lodestone Financial Victoria TX 01/2018 03/2018
Cetera Investment Services Llc St Cloud MN 03/2018 04/2022
D.A. Davidson & Co. Seattle WA 04/2022 Present
  • 02/2017 → 12/2017
    Edward Jones
    St.LOuis, MO
  • 07/2016 → 01/2017
    Unemployed
    Lakehills, TX
  • 01/2018 → 03/2018
    Lodestone Financial
    Victoria, TX
  • 03/2018 → 04/2022
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2022 → Present
    D.A. Davidson & Co.
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-23
S63 Uniform Securities Agent State Law Examination 2002-02-23
  • S65 Uniform Investment Adviser Law Examination
    2023-09-23
  • S63 Uniform Securities Agent State Law Examination
    2002-02-23
Other Names
  • Karen Patricia Cole
  • Karen Patricia Cole-Preciado
  • Karen Patricia Preciado

View on SEC IAPD

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