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2 Bridge Avenue, Suite 633B, Red Bank, NJ 07701 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2022-09-15 |
| NY | RA | APPROVED | 2022-07-11 |
| NJ | RA | APPROVED | 2021-08-23 |
Branch Locations
2 Bridge Avenue, Suite 633B, Red Bank, NJ 07701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Chelsea Financial Services | Tinton Falls | NJ | 02/2014 | 12/2018 |
| Jarred Bunch Consulting | Red Bank | NJ | 06/2017 | 04/2018 |
| Fountainhead Capital Management, Llc | Red Bank | NJ | 04/2018 | 12/2021 |
| Epic Wealth Management, Llc | Red Bank | NJ | 07/2021 | Present |
Ms. Cole is a licensed insurance agent since 2004. She spends approximately 30% of her time on this business, both during and after securities trading hours. Duffy Cole Agency, LLC. has established a business relationship with an unlicensed person, in the form of an LLC registered with the state of New Jersey as Duffy Cole Agency, LLC, through which she compensates her business affiliate for her partner's referral of prospective insurance clients. The business relationship has been formalized through an LLC agreement and the compensation arrangement has been vetted to ensure compliance with all applicable law, rules and regulations. 0% of her time is spent on this business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-22 |
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