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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Jorge Alberto Diaz-Galarza

Advisor at J. W. COLE ADVISORS, INC.

TAMPA, FL | Tampa, FL

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Search this name across graphsid dfx:ria:aeb9fff8-6136-5acb-109a-e4644b61f0b0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jun 7, 2022 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J. W. COLE ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 27, 2021
First registration: Jun 7, 2022
Dual registered: yes, broker-dealer
Other names: Jorge Alberto Diaz|Jorge Diaz|JORGE ALBERTO DIAZ GALARZA
IAPD individual key: 7321053

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J. W. COLE ADVISORS, INC.	Bd affiliated wealth	Mar 6, 2026	n/a	yes	Tampa, FL\|TAMPA, FL	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	May 20, 2025	Mar 6, 2026	no	BRADENTON, FL	Previous registration
FIRST COMMAND ADVISORY SERVICES	Bd affiliated wealth	Feb 24, 2023	Jun 10, 2025	no	Dorado, PR\|FORT WORTH, TX\|Orlando, FL\|Bradenton, FL	Previous registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Independent wealth	Jun 7, 2022	Jan 30, 2023	no	GUAYNABO, PR\|CORAL GABLES, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL ENTERPRISE, LLC	J. W. COLE ADVISORS, INC.	Mar 6, 2026	Mar 6, 2026	0	Firm change	Ibd to ibd
FIRST COMMAND ADVISORY SERVICES	LPL ENTERPRISE, LLC	Jun 10, 2025	May 20, 2025	-21	Firm change	Ibd to ibd
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	FIRST COMMAND ADVISORY SERVICES	Jan 30, 2023	Feb 24, 2023	25	Firm change	RIA to ibd

Relationships

Registered with (4)

→ J. W. COLE ADVISORS, INC.Registered adviserregistration: current employment
Mar 6, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
May 20, 2025 to Mar 6, 2026factForm ADV
→ FIRST COMMAND ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 24, 2023 to Jun 10, 2025factForm ADV
→ MUTUAL OF OMAHA INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 7, 2022 to Jan 30, 2023factForm ADV

Dated events

Occurred
Mar 6, 2026
Advisor changed firm
Jorge Alberto Diaz-Galarza left Lpl Enterprise, Llc for J. W. Cole Advisors, Inc. (registered 2026-03-06)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2025
Advisor changed firm
Jorge Alberto Diaz-Galarza left First Command Advisory Services for Lpl Enterprise, Llc (registered 2025-05-20)
Form ADVobserved 5 days ago
Occurred
Jan 30, 2023
Advisor changed firm
Jorge Alberto Diaz-Galarza left Mutual Of Omaha Investor Services, Inc. for First Command Advisory Services (registered 2023-02-24)
Form ADVobserved 5 days ago