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Advisor at J. W. COLE ADVISORS, INC.
GLEN BURNIE, MD | TAMPA, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| J. W. COLE ADVISORS, INC. | Bd affiliated wealth | Apr 16, 2019 | n/a | yes | GLEN BURNIE, MD|TAMPA, FL | Current employment |
| GLOBAL FINANCIAL PRIVATE CAPITAL, INC. | Former SEC adviser | Jan 17, 2012 | Apr 23, 2019 | no | GLEN BURNIE, MD|SARASOTA, FL | Previous registration |
| USA FINANCIAL SECURITIES LLC | Independent wealth | Aug 28, 2008 | Jan 25, 2012 | no | GLEN BURNIE, MD|ADA, MI|GLEN BURIE, MD | Previous registration |
| STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | Former SEC adviser | Dec 2, 2005 | Jan 26, 2006 | no | WINDSOR LOCKS, CT | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Oct 31, 2005 | Dec 9, 2005 | no | GLEN BURNIE, MD | Previous registration |
| SUNAMERICA SECURITIES, INC. | n/a | Jan 7, 2005 | Oct 31, 2005 | no | GLEN BURNIE, MD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| GLOBAL FINANCIAL PRIVATE CAPITAL, INC. | J. W. COLE ADVISORS, INC. | Apr 23, 2019 | Apr 16, 2019 | -7 | Bulk transfer | Ibd to ibd |
| USA FINANCIAL SECURITIES LLC | GLOBAL FINANCIAL PRIVATE CAPITAL, INC. | Jan 25, 2012 | Jan 17, 2012 | -8 | Firm change | Other |
| STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | USA FINANCIAL SECURITIES LLC | Jan 26, 2006 | Aug 28, 2008 | 945 | Firm change after gap | Other |
| SAGEPOINT FINANCIAL, INC. | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | Dec 9, 2005 | Dec 2, 2005 | -7 | Firm change | Other |
| SUNAMERICA SECURITIES, INC. | SAGEPOINT FINANCIAL, INC. | Oct 31, 2005 | Oct 31, 2005 | 0 | Bulk transfer | Other |