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4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-05-10 |
Branch Locations
2600 North Mayfair Road Suite 1080, Wauwatosa, WI 53226 • 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 |
|---|---|---|---|---|
| J.W. Cole Financial, Inc. | Tampa | FL | 03/2020 | Present |
| Roman Financial | Wauwatosa | WI | 03/2020 | Present |
| Us Bancorp Global Fund Services | Milwaukee | WI | 09/2015 | 03/2020 |
| J. W. Cole Advisors, Inc. | Tampa | FL | 05/2021 | Present |
(1) DBA - Roman Financial; investment related; assistant for estate & financial planning, sales of fixed, indexed and life insurance products - start date 3/2020; 2600 North Mayfair Road Suite 1080; Wauwatosa WI 53202; 160 hours per month, all during trading. (2) CAL Capital Corporation; S Corp for tax purposes; Summit, WI; President. (3) Backup Trustee and POA for immediate family members. (4) Notary Public, State of Wisconsin; Not investment Related; 2600 N Mayfair Rd, Ste 1080, Wauwatosa, WI 53226 (anywhere in the State of Wisconsin); Notarize documents; Notary Public; 1 hr/mo during trading hrs; Perform notarial acts as allowed or required by law.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-05-08 |
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