Dorothea Sue Cole

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

• 05/2016 → 11/2018
  Signator Investors, Inc.
  New Port Richey, FL
• 11/2018 → 02/2019
  Royal Alliance Associates, Inc.
  New Port Richey, FL
• 02/2019 → Present
  J.W. Cole Financial, Inc.
  Tampa, FL
• 02/2019 → Present
  J.W. Cole Advisors, Inc.
  Tampa, FL

Previous Registrations

• 2018-11-02 → 2019-02-07
  Osaic Wealth, Inc.
  Carmel, IN
  New Port Richey, FL
• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  Carmel, IN
  Columbia City, IN
  Columbia City, IN
  New Port Richey, FL
  Columbia City, IN
• 2009-12-10 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Columbia City, IN
  Columbia City, IN
  Carmel, IN
  Greenville, OH
  Columbia City, IN
• 2006-05-01 → 2010-01-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Wayne, IN
• 2001-08-27 → 2006-05-01
  Banc One Securities Corporation
  Ft Wayne, IN

Other Businesses

(1) Compass Consulting & Financial; DBA; Investment Related; 8147 Copernicus Way, Suite 103, Trinity FL 34655; Financial Planning; Independent Insurance Agent; Managing Partner; Owner - I will be paid (through broker dealer) by fees and commissions; Start 7/1/2024; <160 hours/month, <160 hours/month during trading.

Exams

• S66 Uniform Combined State Law Examination
  2001-08-10

Other Names

• Dorothea Sue Craig
• Dorothea Sue Cooper
• Dorothea Sue Cooper
• Dottie Cole