Daryl Andrew Cole

Current Employers

Employment History

• 04/2009 → 10/2017
  National Planning Corporation
  Orange, CA
• 10/2017 → Present
  Osaic Wealth, Inc.
  Los Angeles, CA

Previous Registrations

• 2009-04-30 → 2017-11-03
  National Planning Corporation
  Huntington Beach, CA
  Orange, CA
• 2003-05-08 → 2009-05-04
  Osaic Wealth, Inc.
  Orange, CA
  Orange, CA

Other Businesses

1. NWF POSITION: affiliated advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 11/01/2017 ADDRESS: 11835 West Olympic Blvd. #1155 East, Los Angeles CA 90064, United States DESCRIPTION: Conduct advisory services and financial planning in adherence to the standards set forth by the CFP board. 2. COLE & COMPANY, INC POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2004 ADDRESS: 1420 E Chapman Ave, Orange CA 92866, United States DESCRIPTION: This is the marketing name for my practice. I conduct advisory services and financial planning in adherence to the standards set forth by the CFP board. 3. PO5, LLC POSITION: 20% owner NATURE: LLC to hold the building I work out of INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2016 ADDRESS: 1420 E Chapman Ave, Orange CA 92866, United States DESCRIPTION: 20% owner of LLC that own the building. We rent 1 office in the building to Osaic/NWF RR Joe Hagler, occasionally other Osaic/NWF RR's and a local attorney pay nominal rent to P05 for occasional conference room access. There is no office space sharing. 4. MERCY HOUSE LIVING CENTERS POSITION: Board Member NATURE: 501c3 Non-profit charity INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2008 ADDRESS: 807 N Garfield St, Santa Ana CA 92701, United States DESCRIPTION: Board Member on charity with a goal of ending homelessness 5. ORANGE LUTHERAN HS AUDIT COMMITTEE POSITION: committee member NATURE: non profit high school INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/02/2019 ADDRESS: 2222 N Santiago, Orange CA 92867, United States DESCRIPTION: Orange Lutheran High School Audit committee Member

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-04-07
• S63 Uniform Securities Agent State Law Examination
  1995-04-24

Designations