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4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2020-11-12 |
Branch Locations
1011 B Street, Schuyler, NE 68661 • United States
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Schuyler | NE | 05/2018 | 05/2020 |
| Groene Chiropractic Clinic | Schuyler | NE | 04/2009 | Present |
| Castlerock Financial | Schuyler | NE | 05/2016 | Present |
| J.W. Cole Financial, Inc. | Tampa | FL | 05/2020 | Present |
| J.W. Cole Advisors, Inc. | Tampa | FL | 11/2020 | Present |
(1) Schuyler Class of 2003; President; not investment related; start date 8/15/2003 - president; 2112 Colfax Street, Schuyler NE 68661; 1 hour per month, 0 during trading. (2) Groene Chiropractic Clinic; not investment related; start date 4/1/2009 - housekeeping; 410 W 16th Street, Schuyler NE 68661; 20 hours per month, 0 during trading. (3) Schuyler Seratoma Club; not investment related; start date 10/1/2016; President (volunteer); Vice President of Sertoma in Schuyler, I take over the President's responsibilities if they are unable to attend a meeting; PO Box 254, Schuyler NE 68661; 6 hours per month, 5 hours during trading. (4) Colfax Theater; not investment related; start date 1/1/2018 - secretary (volunteer); non profit organization, attend meetings monthly and update the Facebook page weekly with events and movies; 314 E 11th Street, Schuyler NE 68661; 6 hours per month, 0 during trading. (5) P.E.O.; not investment related; start date 4/1/2019 - Secretary; women's organization with a focus on providing educational opportunities for female students worldwide; 3700 Grand Ave, (This is the executive office), Des Moines IA 50312; 4 hours per month, 0 during trading. (6) Castlerock Financial Management Group - DBA; investment related; start date 3/2019 - Client Relationship Manager; 1011 B Street, Schuyler, NE 68661; 120 hours per month, 120 hours during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 2018-08-23 |
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