Michael Cole has been an investment adviser representative at Garton and Associates Financial Advisors since June 2025, and is not listed among the firm’s executive officers or direct owners.
Garton and Associates Financial Advisors LLC is a Louisville, KY firm with $215M under management, 369 clients and 5 advisers across 2 offices, as of its August 2026 filing.
- – present · 1 yearLouisville, KY · Adviser representative · Firm CRD 146493
Investment adviser representative registrations
Michael Cole is registered as an investment adviser representative in Kentucky, since June 2025.
- KentuckySince 1 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 13 September 2024 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 October 2020 |
| Series 7TO | General Securities Representative Examination | 2 October 2020 |
| SIE | Securities Industry Essentials Examination | 25 September 2020 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Michael Alexander Cole
- CRD
- 7270084
- Firm
- Garton and Associates Financial Advisors · CRD 146493
- Office
- 2319 LIME KILN LANE, SUITE A, Louisville, KY 40222
- Registration
- Investment adviser registration
- In the industry since
- March 2024
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Cole work?
Michael Cole is an investment adviser representative registered through Garton and Associates Financial Advisors LLC since June 2025, and is not listed among the firm’s executive officers or direct owners.
Is Michael Cole a financial advisor?
Yes. Michael Cole has a current investment-adviser registration in Kentucky, through Garton and Associates Financial Advisors since June 2025.
How many years of experience does Michael Cole have?
Michael Cole has 2 years in the financial industry, since March 2024, across 1 adviser firm.
What exams has Michael Cole passed?
Michael Cole has passed 4 licensing exams: the SIE, Series 7TO, Series 63 and Series 65. The earliest, the SIE, was passed in September 2020.
Where is Michael Cole based?
Michael Cole’s registered office is in Louisville, KY.
Is Michael Cole registered with FINRA?
No. Michael Cole has no current broker registration.
How can I verify Michael Cole’s record?
Search CRD 7270084 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Cole’s full registration record.
