Matthew James Cole

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 05/2007 → 03/2019
  Lpl Financial, Llc
  San Diego, CA
• 04/2019 → 07/2022
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 04/2019 → 07/2022
  Charles Schwab Bank Ssb
  Lone Tree, CO
• 10/2020 → 07/2022
  Charles Schwab Premier Bank
  Lone Tree, CO
• 10/2020 → 07/2022
  Charles Schwab Trust Bank
  Lone Tree, CO
• 07/2022 → Present
  Lpl Financial Llc
  Highlands Ranch, CO

Previous Registrations

• 2019-05-09 → 2022-07-14
  Charles Schwab & Co., Inc.
  Westlake, TX
  Lone Tree, CO
  Lone Tree, CO
  Austin, TX
  Westlake, TX
• 2007-06-06 → 2019-04-10
  Lpl Financial Llc
  Fort Mill, SC
  San Diego, CA
  San Diego, CA
  Fort Mill, SC
• 2006-03-23 → 2007-04-10
  Banc Of America Investment Services, Inc.
  San Diego, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-05-22
• S63 Uniform Securities Agent State Law Examination
  1995-02-23