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Christopher Matthew Cole

Shepherd Kaplan LLC

Boston, MA

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Current Employers
Shepherd Kaplan Llc

53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2017-12-20
MA RA APPROVED 2010-09-21
  • VA RA
    APPROVED
    Since 2017-12-20
  • MA RA
    APPROVED
    Since 2010-09-21

Branch Locations

53 State Street 23Rd Floor, Boston, MA 02109-2820 • 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
OrganizationCityStateFromTo
Shepherd Kaplan Llc Boston MA 09/2007 10/2020
Shepherd Kaplan Llc Boston MA 10/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-20
  • S65 Uniform Investment Adviser Law Examination
    2010-09-20
Designations
Other Names
  • Chris Matthew Cole

View on SEC IAPD

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