Shelley Cole

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1979 → Present
  Self Employed
  Vallejo, CA
• 11/1979 → Present
  Cole & Cole Realtors
  Vallejo, CA
• 09/2006 → Present
  Cole And Cole Group
  Fairfield, CA
• 09/2014 → 06/2021
  Voya Financial Advisors
  Des Moines, IA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2022 → Present
  Cole & Cole Financial Advisors
  Fairfield, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2009-02-27 → 2021-06-09
  Voya Financial Advisors, Inc.
  San Jose, CA
  Fair Oaks, CA
  Fairfield, CA
• 2005-01-10 → 2008-11-20
  Investors Capital Corp.
  Roseville, CA
  Fairfield, CA
  Vallejo, CA
• 2004-01-08 → 2004-12-31
  Eastern Point Advisors Inc.
  Vallejo, CA

Other Businesses

1.) NAME OF ENTITY: Cole and Cole Group; Yes; 2460 HILLBORN RD A; FAIRFIELD; CA; 94534; real estate sales and management; owner; 11/10/2008; 1; 1; real estate sales and management of single family homes| 2.) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 2460 HILLBORN RD A; FAIRFIELD; CA; 94534; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 11/10/2008; 160; 160; SALES OF FIXED INSURANCE PRODUCTS| 3.) NAME OF OTHER BUSINESS: COLE & COLE FINANCIAL ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 7/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S66 Uniform Combined State Law Examination
  2003-12-09
• S63 Uniform Securities Agent State Law Examination
  1995-01-06

Other Names

• Skip Cole
• Skip Cole