James Andrew Bauer

Employer firm

J. W. Cole Advisors, Inc. CRD 112294

$8.25B regulatory AUM 1,971 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Selection of other advisers
Educational seminars
HOURLY & FIXED RATE CONSULTING

From the firm’s Form ADV. Read the guides:

Current Employers

J. W. Cole Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2014-08-20

FL RA
APPROVED

Since 2014-08-20

Branch Locations

Lake Placid, FL • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Apologetic Apparel	Sebring	FL	09/2011	01/2023
J.W. Cole Financial, Inc.	Tampa	FL	08/2014	Present
J.W. Cole Advisors, Inc.	Tampa	FL	08/2014	Present

09/2011 → 01/2023

Apologetic Apparel

Sebring, FL
08/2014 → Present

J.W. Cole Financial, Inc.

Tampa, FL
08/2014 → Present

J.W. Cole Advisors, Inc.

Tampa, FL

Previous Registrations

2005-11-16 → 2014-08-22

Cetera Investment Advisers Llc

Sebring, FL

Sebring, FL

Sebring, FL

Other Businesses

(1) THE CLIENT FIRST; DBA NAME FOR INVESTMENT PRACTICE; Investment RELATED; 10 Log Cabin Road; Lake Placid FL 33852; OWNER; INVESTMENT ADVISOR and Fixed Insurance sales; Started 7/1/2014; 40 HRS/MONTH DURING SECURITIES TRADING HOURS (2) Log Cabin Fruit Farm.; NON-INVESTMENT RELATED; 10 LOG CABIN RD, LAKE PLACID, FL 33852; Owner; Fruit Farm; Start 7/1/24; 12 hours/month during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-11-14

S66 Uniform Combined State Law Examination

2005-11-14

View on SEC IAPD