Advisor at Advisors Asset Management, Inc.
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
Charlotte, NC 28277
Credentials
Series 63, Series 65
Industry experience
27 years
Mark Cole is a financial advisor with Advisors Asset Management, Inc. in Charlotte, NC. He holds Series 63 and Series 65 designations and has 27 years of industry experience. He has been with Advisors Asset Management since 2010. Outside of his advisory role, he volunteers as an adult leader for his son's Boy Scouts of America troop. Advisors Asset Management, Inc. provides portfolio supervisory and investment management services to a diverse client base, including individuals, high-net-worth investors, and institutional clients. The firm offers a range of investment products and employs a structured investment process across fixed income and equity strategies, operating under the broader Sun Life Financial network.
Based on Advisors Asset Management, Inc.
Based on Advisors Asset Management, Inc.
$0+: 0.20% to 2.00% for fixed income strategies $0+: 0.45% to 2.5% for equity strategies
Account minimum: $250,000 for fixed income strategies and $100,000 for equity strategies
14045 Ballantyne Corporate Pl, Suite 375
Charlotte, NC 28277
North Carolina
Advisors Asset Management, inc
2010 - Present (16 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 65
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CFP®
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As a comprehensive financial planning firm we can assist you with your investment management, social security, debt management, budgeting, net-worth tracking, overall organization, tax planning, charitable planning, insurance review, and much more. As a flat fee firm we know the stock market isn't the only solution for your investment problems and love to brainstorm real estate, small business, private credit, and other alternative investment options that lead to the main goal. To improve your financial life and increase your net-worth. If you want a second set of eyes on your investments or financial decisions then feel free to give us a call and we'll talk through if we are a good fit for you. If not, then we will point you in the right direction.
Series 63, Series 65
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Cornerstone Investment Services, Inc.
David Hoshour is a financial advisor with Cornerstone Investment Services, Inc. in Indian Trail, NC, holding Series 63 and Series 65 designations and 15 years of industry experience. He has been with Cornerstone Investment Services since 1995. Cornerstone Investment Services provides ongoing investment supervisory services and basic financial planning to individuals, trusts, and nonqualified retirement accounts, as well as advising retirement plan sponsors and institutional clients. The firm offers discretionary, fee-only portfolio management with a focus on medium- to long-term holdings and emphasizes fiduciary services and customized solutions for retirement plans.
Series 65
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Goldfarb Wealth Advisors
Dana Goldfarb is the sole advisor at Goldfarb Wealth Advisors in Charlotte, NC, holding a Series 65 credential with 12 years of industry experience. He has led Goldfarb Wealth Advisors since 2014. Goldfarb Wealth Advisors provides personalized investment advisory and financial planning services to individuals, families, trusts, estates, and small businesses. The firm employs a modern portfolio theory-based investment approach focused on globally diversified, low-cost mutual funds and ETFs, with an emphasis on long-term buy-and-hold strategies and tax-aware actions.
Series 63, Series 65
Charlotte, NC
Prodeo Asset Management, LLP
CFP®, Series 63, Series 65
Charlotte, NC
Ocean Advisors, LLC
Drew Waterbury is a CFP® professional with 17 years of industry experience and has been the sole advisor at Ocean Advisors, LLC since 2010. He provides financial literacy programs for employees of various businesses, delivering content both on-site and via webinars, occasionally developing the material himself. Ocean Advisors offers investment management and personal financial planning services to individuals, families, trusts, estates, family businesses, and corporate retirement plans. The firm’s investment approach combines strategic asset allocation with tactical adjustments using fundamental and technical analysis, including dividend-focused equity portfolios, diversified funds, and selective options strategies for income enhancement or downside protection.
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