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Charles Alfred Cockrell

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Information

Other Names: Al Cockrell, Charles A Cockrell Jr, Charles Alfred Cockrell Jr ...(see more)
Firm:
Additional Firm:
Type: Dual Registration
Description

Charles Cockrell is a financial professional at J.W. Cole Financial, Inc., a broker-dealer with 380 registered representatives nationwide. Charles is also registered with J. W. Cole Advisors, Inc., a $943M RIA based in Tampa, FL. Charles has held an industry securities registration for 28 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Jonathan Roberts Advisory Group Inc. 10 years Aug 2004 - Present
J.W. Cole Financial, Inc. 10 years Aug 2004 - Present
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 08/09/1999
Uniform Investment Adviser Law ExaminationSeries 65 10/13/1994
Uniform Securities Agent State Law ExaminationSeries 63 11/26/1985
General Securities Representative ExaminationSeries 7 10/19/1985

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Charles Alfred Cockrell has not answered any questions on Financial Q&A.

Top Guides

Charles Alfred Cockrell has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
08/03/2014
04/17/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions