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Current Employers
J. W. Cole Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2023-12-15
  • LA RA
    APPROVED
    Since 2023-12-15

Branch Locations

900 Camp Street Suite 3C10, New Orleans, LA 70130 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ge Financial Assurance - Gfa New Orleans LA 12/2002 Present
Cambridge Investment Research, Inc Fairfield IA 05/2009 11/2023
Cambridge Investment Research Advisors, Inc Fairfield IA 05/2009 11/2023
J.W. Cole Financial, Inc. Tampa FL 12/2023 Present
J.W. Cole Advisors, Inc. Tampa FL 12/2023 Present
  • 12/2002 → Present
    Ge Financial Assurance - Gfa
    New Orleans, LA
  • 05/2009 → 11/2023
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 05/2009 → 11/2023
    Fairfield, IA
  • 12/2023 → Present
    J.W. Cole Financial, Inc.
    Tampa, FL
  • 12/2023 → Present
    J.W. Cole Advisors, Inc.
    Tampa, FL
Previous Registrations
Other Businesses

(1) Advisor Choice; Insurance Brokerage Services; Not Investment Related; 515 Main Street, Suite 414, Thousand Oaks, CA 91360; Agent; Independent Agency; Start 9/2005; 1-2 hours a month. (2) Cypress Wealth Management; DBA; 900 Camp Street, Ste 3C10, New Orleans, LA 70130; Not investment related; Owner/Principal; This is the name that I hold out to the public for my practice; Start 5/2009; Approximate 160 hours/month, 0 during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-13
S63 Uniform Securities Agent State Law Examination 1986-10-02
  • S65 Uniform Investment Adviser Law Examination
    2016-05-13
  • S63 Uniform Securities Agent State Law Examination
    1986-10-02

View on SEC IAPD

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