Douglas
Cole

Sagepoint Financial, Inc

CRD#2179125
Investment Advisor
in Carlsbad, CA
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About this Advisor

Douglas Cole is a financial advisor operating out of Carlsbad, California, with a total of 13 years of financial industry experience. Cole works at Sagepoint Financial, Inc. Throughout their career, Cole has worked at Aig Financial Advisors, Inc and Sagepoint Financial, Inc. Cole holds Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and can work in California. Sagepoint Financial, Inc is a financial advisory company that has its headquarters in Carlsbad, California. The company has offices in 615 locations and a total of 2,032 employees. It has $7 billion in assets across its 33,830 client accounts, placing it among the largest financial advisory firms in the country by assets under management. The firm advises 67 charities and foundations. Of its 33,830 client accounts, just 11% are held by high-net-worth clients who have at least $1 million in assets. The company provides a broad set of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. A financial advisor's fee schedules vary depending on which services are provided. However, fees charged by Sagepoint Financial, Inc likely consist of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

13 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

Yes

Office Location

2768 Loker Ave W #101
Carlsbad, CA 92010

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Sagepoint Financial, Inc Brokerage Details

Total Assets Under Management

$7,988,217,859

CA Average: $1,555,372,352
Total Number of Employees

1,957

CA Average: 37
Total Number of Accounts

42,989

CA Average: 1,370
Average Account Size

$185,820

CA Average: $1,135,308

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Douglas Cole Work History

Douglas has 13 years of experience.

2009 - Present (10 years)

Sagepoint Financial, Inc

2005 - 2009 (4 years)

Aig Financial Advisors, Inc

Disclosures

Douglas Cole has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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