Craig Alan 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

• 04/1985 → 03/2017
  Metlife Securities Inc.
  Tucson, AZ
• 07/2016 → 03/2023
  Massachusetts Mutual Life Insurance Company
  Oro Valley, AZ
• 03/2017 → 03/2023
  Mml Investors Services, Llc
  Oro Valley, AZ
• 03/2023 → Present
  Lpl Financial
  Oro Valley, AZ

Previous Registrations

• 2018-07-19 → 2023-03-13
  Mml Investors Services, Llc
  Oro Valley, AZ
  Oro Valley, AZ

Other Businesses

1) 12/05/2022- Craig A. Cole, LLC- Business Entity For Tax/Investment Purposes Only- owner - Oro Valley Az- start date 6/25/2013- 20hrs/mth 2) 06/09/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 01/01/1991 - 20 Hours Per Month/ 10 Hours During Securities Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-05-31

Designations

• Chartered Financial Consultant