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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
AZ RA APPROVED 2025-11-06
CA RA APPROVED 2025-11-03
TX RA APPROVED 2025-11-03
  • AZ RA
    APPROVED
    Since 2025-11-06
  • CA RA
    APPROVED
    Since 2025-11-03
  • TX RA
    APPROVED
    Since 2025-11-03

Branch Locations

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

Prescott, AZ • United States

17875 Von Karman Ste 150, Irvine, CA 92614 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Financial Group Llc Irvine CA 09/2014 11/2017
Spectrum Capital Investment Group, Inc. Irvine CA 09/2014 11/2025
Empirical Wealth Management Irvine CA 11/2017 02/2018
J.W. Cole Advisors, Inc. Tampa FL 11/2025 Present
Previous Registrations
  • 2014-09-02 → 2025-11-03
    Spectrum Wealth Management, Llc
    Irvine, CA
    Prescott, AZ
  • 2017-11-21 → 2018-02-28
    Irvine, CA
    Seattle, WA
  • 2014-09-02 → 2014-12-02
    Irvine, CA
  • 2009-09-08 → 2014-09-12
    Newport Beach, CA
  • 2004-11-15 → 2009-10-13
    Associated Planners Investment Advisory Inc
    Newport Beach, CA
  • 2004-11-15 → 2009-09-08
    Associated Securities Corp.
    Newport Beach, CA
    Newport Beach, CA
Other Businesses

(1) Ritter Financial & Insurance Services, Inc.; Not investment Related; 17875 Von Karman, Ste 150, Irvine, CA 92614; Fixed Life, Disability, Annuity &LTC; Owner/President; Sales and underwriting for life, disability, annuities and LTC; Start in 2008; 5-10 hours/month, 5 hours/month during trading. (2) Ironstone Wealth Planning; DBA for JWCA business; 17875 Von Karman, Ste 150, Irvine, CA 92614; Not investment related; President; Start 10/28/2025; 40 hours/month, 40 hours/month during trading. (3) Successor Trustee and Executor for Parent's Trust

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-08
S63 Uniform Securities Agent State Law Examination 1996-12-09
  • S66 Uniform Combined State Law Examination
    2004-11-08
  • S63 Uniform Securities Agent State Law Examination
    1996-12-09
Designations

View on SEC IAPD

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