Dianne Therese Fay

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1984 → Present
  Fay & Associates
  Phoenix, AZ
• 07/2007 → 12/2022
  The O.N. Equity Sales Company
  Cincinnati, OH
• 06/2007 → 12/2022
  Ohio National Financial Services
  Cincinnati, OH
• 12/2022 → Present
  J.W. Cole Financial, Inc.
  Tampa, FL
• 12/2022 → Present
  J.W. Cole Advisor, Inc.
  Tampa, FL

Previous Registrations

• 2009-09-09 → 2022-12-21
  On Investment Management Co
  Scottsdale, AZ
• 2007-02-15 → 2009-08-06
  Msi Financial Services, Inc.
  Scottsdale, AZ
  Scottsdale, AZ
  Tempe, AZ
• 2003-02-10 → 2006-12-11
  Park Avenue Securities Llc
  Phoenix, AZ
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

(1)FAY & ASSOCIATES Inc.; NOT INVESTMENT RELATED: 14648 N Scottsdale Rd, Ste 120, Scottsdale, AZ 85254; TAX & ACCOUNTING PRACTICE; PRESIDENT, Oversight of operations; Start 1/11/25; 15 hours/month during trading. (2)INSURANCE SALES; NOT INVESTMENT RELATED; 14648 N Scottsdale Rd, Ste 120, Scottsdale, AZ 85254; INSURANCE SALES; AGENT; 06/30/1992 TO PRESET; 15 HOURS PER MONTH; 10-12 HOURS PER MONTH DURING TRADING HOURS; MEET WITH CLIENTS AND ASSIST WITH PRODUCT PURHASE. (3) Residential Rental Property; investment relates; 8776 E Shea #106-151 Scottsdale AZ 85260 Rental; owner of property; Started 2021; 1-2 hours/month (1 during security trading hours): answer questions, repair set up as needed.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-20
• S63 Uniform Securities Agent State Law Examination
  1992-09-04

Designations

• Certified Financial Planner

Other Names

• Dianne T Fay