Cole Chase
Advisor at Cetera
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
About
Cole Chase is a financial advisor at Cetera with three years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including KeyBank and Unum Life Insurance Company of America. Outside of finance, he has experience running a fitness center. Cetera Investment Advisers serves individual, high-net-worth, institutional, and retirement-plan clients through a large network of independent advisors, offering portfolio management, financial planning, fiduciary solutions, and access to third-party money managers. The firm combines retirement and fiduciary capabilities with a broad institutional platform and multiple program structures.
Client services
Based on Cetera
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
Based on Cetera
Wealth management
Tax-loss harvesting
Retirement plans for business owners (SEP, solo 401k)
Charitable giving & philanthropy
Fee options
Flat fees for financial planning and consulting negotiated with client
$0 - $250,000: Up to 2.75% $250,001 - $500,000: Up to 2.50% $500,001 - $750,000: Up to 2.00% $750,001 - $1,000,000: Up to 1.75% $1,000,001 - $2,000,000: Up to 1.50% $2,000,001 - $5,000,000: Up to 1.25% $5,000,001+: As low as 0.75% (varies by program)
Hourly consulting and financial planning rates negotiated with client
Account minimum: $5,000 Minimum fee: Minimum program fees ranging from $99 to $199 annually depending on program Fee-only: Flat or hourly fees for financial planning and consulting services, negotiated case-by-case
Location
44 Elm Street
Camden, ME 04843
Most active in
Cole C has reported serving >5 clients in these states in the last 12 months.
Maine
Work history
Cetera
2024 - Present (2 years)
FIRST NATIONAL BANK
2024 - Present (2 years)
Cetera Investment Services Llc
2024 - Present (2 years)
Key Investment Services LLC
2022 - 2024 (2 years)
KeyBank
2022 - 2024 (2 years)
Unum Life Insurance Company of America
2018 - 2022 (4 years)
Basics Fitness Center
2018 - 2019 (1 year)
University of Central Florida
2014 - 2018 (4 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Trust company
They provide trust and estate administration services, typically for separate fees.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Nancy S
Series 66
Rockland, ME
Schultz Retirement Income Solutions, Inc.
James H
Series 63, Series 65
Rockland, ME
James Heavey Wealth Advisors, LLC
Ryan G
Series 63, Series 66
Rockport, ME
Integral Financial Planners
Brie P
CFP®, Series 65
Rockport, ME
Birch Point Wealth Management LLC
Christopher C
CFP®, Series 65
Rockport, ME
Logbook Financial Planning, LLC
Daniel P
Series 63, Series 65
Rockland, ME
New England Financial Services
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