KEVIN CHARLES COLE

KEVIN CHARLES COLE is currently employed as a Broker and/or Investment Adviser at VALIC FINANCIAL ADVISORS, INC. located at 630 WEST CARMEL DRIVE, SUITE 140, CARMEL, IN, 46032.

KEVIN CHARLES COLE has worked at VALIC FINANCIAL ADVISORS, INC. since October 07, 2010

Disclosure History

KEVIN CHARLES COLE has 2 Disclosure Event(s).

Date: May 08, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE HAD NOT DISCLOSED THE COSTS (M&E EXPENSES, RIDER COSTS AND SUBACCOUNT EXPENSES)AT THE POINT OF SALE.
Damage Amount Requested: $15,052.43
Settlement Amount: $14,349.62

Date: March 28, 2006
Category: Customer Dispute
Allegations: MISREPRESENTATION: CLIENT ALLEGES THAT SHE WAS PROMISED A GUARANTEED INCOME RETURN ON HER INVESTMENT. SHE ALSO ALLEGES THAT THIS CONTRACT WAS NEVER DELIVERED TO HER.
Damage Amount Requested: $5,532.00
Settlement Amount: $5,632.66
Broker Comment: ACCORDING TO THE REPRESENTATIVE, HIS PRIOR BD SETTLED THIS CLAIM BASED ON INCORRECT INFORMATION. THEY DID NOT CONTACT HIM FOR AN EXPLANATION, BUT HE FEELS THE PAPERWORK WAS IN GOOD ORDER AND THAT THE TRADE WAS SUITABLE.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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