Kristina Cole - Managing Director, Compliance and Legal
Kristina Cole has been in the Financial Services Industry for over 18 years with in-depth, hands-on experience in sales supervision, brokerage operations supervision and management, retail trading, compliance supervision and management.
Kristina’s background includes working in multiple capacities in trading, operations and client services at Charles Schwab in San Francisco from 1999 to 2004. She also worked in various aspects of senior auditing, compliance supervision and training. Ms. Cole brings a strong background in the Independent Advisor platform. She developed expertise in providing compliance and small business management consultation to Independent Financial Advisors while at LPL Financial from 2004 to 2006 and Commonwealth Financial Network from 2006 to 2011.
Kristina graduated with honours in both her BA and MBA in Business Management. Ms. Cole holds the series 7, 24, 53, 55, 63, 66 and 99 registrations. She is a charter member of the Southern California Compliance Group and a member of the National Association of Independent Broker Dealers. Kristina has participated in both National and District FINRA meetings. Kristina is licensed in Life, Health and Variable Insurance products and is well versed in regulatory matters involving insurance products.
In her spare time, Kristina Cole has been involved with charitable work for the Rady’s Paediatric Hospital in Paediatric Oncology projects and coordinated a Mission Beach clean-up project with the Adopt a Beach Foundation in San Diego. She is also an oenophile and an honours graduate of the Wine and Spirits Education Trust. Her most important role is as a wife and mother, with her greatest accomplishment to date being her 8 month old daughter, Teagan.