Alexis Cole

Current Employers

California Capital Management

2520 West Olive Avenue Suite 300, Burbank, CA 91505 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-06-24
CA	RA	APPROVED	2025-01-21

NC RA
APPROVED

Since 2025-06-24
CA RA
APPROVED

Since 2025-01-21

Branch Locations

Black Mountain, NC • 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

Organization	City	State	From	To
Purshe Kaplan Sterling Investments	Albany	NY	10/2016	12/2018
California Capital Management	North Hollywood	CA	11/2013	Present

10/2016 → 12/2018

Purshe Kaplan Sterling Investments

Albany, NY
11/2013 → Present

California Capital Management

North Hollywood, CA

Previous Registrations

2013-11-12 → 2014-11-12

Lpl Financial Llc

North Hollywood, CA
2013-09-10 → 2013-11-27

Ameriprise Financial Services, Llc

Torrance, CA
2005-01-18 → 2011-10-14

Lpl Financial Llc

North Hollywood, CA

Woodland Hills, CA

Other Businesses

Rental Property-Not investment related-Various Locations-Rental Property- Owner-10/2010-5% of time-Manages tenants and property Catherine Cole Ferandelli Living Trust-Not investment related-1 Sand Pass Road, Winnemuccca, NV 89446-Mother's family trust-Successor Trustee-5/2006-0 hrs/mth-0 during trading hrs-Successor Trustee. Southern CA Reined Cow Horse Association - not investment related - treasurer/board member - 01/2021 - 3% of time Cottages on Liberty Green - Not investment related - Board member - 10/2021 - 2% of time

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-01-14

S66 Uniform Combined State Law Examination

2005-01-14

Designations

Other Names

Alexis Irene Cole

View on SEC IAPD