Stuart Farrell Ettingoff

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
PA	RA	APPROVED	2019-04-26

PA RA
APPROVED

Since 2019-04-26

Branch Locations

Newtown Square, PA • United States

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

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Wayne	PA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Wayne	PA	11/2016	04/2019
J.W. Cole Financial, Inc.	Tampa	FL	04/2019	Present
J.W. Cole Advisors, Inc.	Tampa	FL	04/2019	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Wayne, PA
11/2016 → 04/2019

Wells Fargo Clearing Services, Llc

Wayne, PA
04/2019 → Present

J.W. Cole Financial, Inc.

Tampa, FL
04/2019 → Present

J.W. Cole Advisors, Inc.

Tampa, FL

Previous Registrations

2016-09-08 → 2019-05-01

Wells Fargo Clearing Services, Llc

Radnor, PA

Radnor, PA

Other Businesses

Ettingoff Wealth Management, LLC - DBA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-11-30
S63	Uniform Securities Agent State Law Examination	1982-01-20

S65 Uniform Investment Adviser Law Examination

1992-11-30
S63 Uniform Securities Agent State Law Examination

1982-01-20

View on SEC IAPD