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4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-09-30 |
Branch Locations
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States
17316 Kenyon Ave Ste 104 Lakeville Mn 55044 Ste 104, Lakeville, MN 55044 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Planning Corporation | Ann Arbor | MI | 11/2002 | 09/2024 |
| Parkland Securities | Ann Arbor | MI | 08/2014 | 09/2024 |
| J.W. Cole Financial, Inc. | Tampa | FL | 09/2024 | Present |
| J.W. Cole Advisors, Inc. | Tampa | FL | 09/2024 | Present |
(1) Midwest Money Management, Inc.; DBA; Investment Related; 17316 Kenyon Ave, Ste 104, Lakeville, MN 55077; Administrator; Develop eMoney strategies for customers, meet with wholesalers for product selection, build client relationships and profiles with new customers; Start 1999; 30 hours/month, 30 hours/month during trading. (2) Men of His Word; Faith Based Men's Group; Not investment related; 2207 11th Ave S. E., Rochester, MN 55904; Chairman; Find sponsors to financially support the Fall conference the last Saturday in October each year; Start 1/2015; 5-8 hours/month, 2 hours/month during trading. (3) Doug & Kris Thompson Properties, LLC; Rental Property; Investment Related; 3495 Hart Lane S.W., Rochester, MN 55902; Owner; Property is located in The Wisconsin Dells/Wilderness Territory, Pay maintenance costs quarterly, turn key operation otherwise; Start 8/2011; 10 hours/month, 1-2 hours/month during trading. (4) RoPer Properties LLC; Rental properties; Investment Related; 3495 Hart Ln, S.W., Rochester, MN 55902; Partner with two brothers; Pay maintenance cost quarterly, turn key operation otherwise, located in the The Wisconsin Dells, Wilderness Territory; Start 9/2022; <1 hour/month, 0 during trading. (5) Doug & Kris Thompson (Joint); Rental Property; Investment Related; 1445 Dynasty Place, The Villages, FL 32163; Owner; Find renters, manage the property; collect rent; Start 4/2020; 8-10 hours/month, 1-2 hours during trading. (6) Ascension Lutheran Church; Not investment related; 2207 11th Ave, SE, Rochester, MN 55904; Church Council President; Oversee operations of the church as well as church council and congregational meetings; Start 1/1/25; 2 hours/month during trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-01-11 |
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