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Current Employers
J. W. Cole Advisors, Inc.

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-12-04
  • CA RA
    APPROVED
    Since 2017-12-04

Branch Locations

31051 Via Limon, San Juan Capistrano, CA 92675 • United States

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc San Juan Capistrano CA 10/1999 10/2017
Independent Financial Group San Juan Capistrano CA 10/2017 10/2017
J.W. Cole Financial, Inc. Tampa FL 12/2017 Present
J.W. Cole Advisors, Inc. Tampa FL 12/2017 Present
  • 10/1999 → 10/2017
    San Juan Capistrano, CA
  • 10/2017 → 10/2017
    Independent Financial Group
    San Juan Capistrano, CA
  • 12/2017 → Present
    J.W. Cole Financial, Inc.
    Tampa, FL
  • 12/2017 → Present
    J.W. Cole Advisors, Inc.
    Tampa, FL
Previous Registrations
Other Businesses

Fixed Insurance, Health Insurance. 4 hours per month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-07
S63 Uniform Securities Agent State Law Examination 1989-04-20
  • S65 Uniform Investment Adviser Law Examination
    1998-04-07
  • S63 Uniform Securities Agent State Law Examination
    1989-04-20

View on SEC IAPD

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