Karen Cole
Advisor at D.A. DAVIDSON & Co.
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.
Location
Goliad, TX
Credentials
Series 63, Series 65
Industry experience
23 years
About
Karen Cole is a financial advisor at D.A. Davidson & Co. with 23 years of industry experience. She holds Series 63 and Series 65 licenses and has previously worked at firms including Cetera Investment Services, Lodestone Financial, Edward Jones, and RBC Capital Markets. D.A. Davidson & Co. offers investment advisory and brokerage services to a diverse client base, including employer-sponsored retirement plans, individual investors, charitable organizations, and corporate clients. The firm provides retirement plan advisory services, comprehensive financial planning, and a Private Wealth program for clients with over $20 million in net worth, operating under fiduciary standards and employing both qualitative and quantitative investment analyses.
Client services
Based on D.A. DAVIDSON & Co.
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Newsletters or periodicals
Educational seminars or workshops
Demographic focus
Based on D.A. DAVIDSON & Co.
HENRY (High Earners, Not Rich Yet)
Established Professionals
Fee options
Brokerage services include commissions; Financial Advisors receive a percentage of production (25%-51%) based on revenue generated including commissions and fees.
Account minimum: $20,000,000 Fee-only: Financial Planning Services fees are negotiable and generally range from $1,500 to $15,000 or more depending on complexity and nature of services.
Location
Goliad, TX
Most active in
Karen C has reported serving >5 clients in these states in the last 12 months.
Texas · Washington
Work history
D.A. Davidson & Co.
2022 - Present (4 years)
Cetera Investment Services Llc
2018 - 2022 (4 years)
Lodestone Financial
2018 - 2018 (1 year)
Edward Jones
2017 - 2017 (1 year)
Unemployed
2016 - 2017 (1 year)
RBC Capital Markets
2013 - 2016 (3 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.
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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.
Julia S
Series 63
Goliad, TX
Ameriprise
Julia Stimson is a financial advisor with Ameriprise in Goliad, TX, holding a Series 63 designation and 28 years of industry experience. She has been with Ameriprise since 2005, including its predecessor firm Ameriprise Financial Services, Inc. Outside of her advisory role, she writes plans for other advisors. Ameriprise offers a retirement-income planning service aimed at individuals approaching or in retirement who meet eligibility criteria, providing written Recommendation Reports that address income sources, Social Security claiming options, and tax-smart withdrawal strategies. The firm combines research, modeling, and tax-efficiency analysis in its approach, with algorithmic automation supporting its centralized retirement-income consulting team.
Daniel N
ChFC®, Series 66
Goliad, TX
Edward Jones
Daniel Nelson is a ChFC® and holds a Series 66 license with Edward Jones, where he has worked as a financial advisor since 2016. He has 10 years of industry experience and serves concurrently in the U.S. Army since 2004. Nelson is involved in several local organizations in Goliad, TX, including serving as a board member and volunteer for various community and economic development groups. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients. The firm manages approximately $1.01 trillion in assets and provides a broad range of advisory services through a nationwide network of financial advisors and branch offices.
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