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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