Arthur Cole has been President, Chief Compliance Officer of Executive Financial Services since January 2008, is a control person of the firm and directly owns between 50% and 75% of it.
Executive Financial Services Inc is a Livonia, MI firm with $199M under management, 189 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Investment adviser representative registrations
Arthur Cole is registered as an investment adviser representative in 3 states. The first approvals date from May 2010; the most recent is Florida, in January 2026.
- FloridaSince 23 January 2026
- MichiganSince 6 May 2010
- TexasSince 26 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 September 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 November 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 November 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Arthur Raymond Cole
- CRD
- 2822685
- Firm
- Executive Financial Services · CRD 110180
- Role
- President, Chief Compliance Officer
- Office
- 33762 SCHOOLCRAFT RD, 2ND FLOOR, Livonia, MI 48150
- Registration
- Investment adviser registration
- In the industry since
- May 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Arthur Cole work?
Arthur Cole has been President, Chief Compliance Officer of Executive Financial Services Inc since January 2008, and is a control person of the firm.
Is Arthur Cole a financial advisor?
Yes. Arthur Cole has a current investment-adviser registration in Florida, Michigan and Texas, through Executive Financial Services since May 2010.
How many years of experience does Arthur Cole have?
Arthur Cole has 16 years in the financial industry, since May 2010, across 1 adviser firm.
What exams has Arthur Cole passed?
Arthur Cole has passed 3 licensing exams: the Series 63, Series 6 and Series 65. The earliest, the Series 63, was passed in November 1996.
Where is Arthur Cole based?
Arthur Cole’s registered office is in Livonia, MI.
Is Arthur Cole registered with FINRA?
No. Arthur Cole has no current broker registration.
How can I verify Arthur Cole’s record?
Search CRD 2822685 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Arthur Cole’s full registration record.