Stuart F. Ettingoff

J. W. COLE ADVISORS

Newtown Square, PA

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CRD#: 1025504

Professional summary

Stuart Farrell Ettingoff is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Newtown Square, Pennsylvania and J.W. COLE FINANCIAL, INC. located in Newtown Square, Pennsylvania.

Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Stuart has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Ettingoff Wealth Management, LLC - DBA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Farrell Ettingoff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 26, 2019 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Newtown Square, PA

Current

April 26, 2019 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Newtown Square, PA

Past

September 8, 2016 - May 1, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RADNOR, PA

Past

July 1, 2003 - May 1, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RADNOR, PA

Past

January 25, 1982 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/26/2019)

Connecticut
(4/26/2019)

Delaware
(10/16/2023)

Florida
(4/26/2019)

Illinois
(1/21/2022)

Maine
(4/29/2019)

Maryland
(4/26/2019)

Massachusetts
(1/2/2024)

Michigan
(4/26/2019)

Nevada
(2/8/2022)

New Jersey
(4/26/2019)

New York
(4/26/2019)

Ohio
(1/6/2021)

Oregon
(1/3/2022)

Pennsylvania
(4/26/2019)

IAR

Pennsylvania
(4/26/2019)

Rhode Island
(1/30/2024)

South Carolina
(4/30/2019)

Virginia
(4/26/2019)

Washington
(5/2/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stuart F. Ettingoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Farrell Ettingoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/1992

Series 63

Date: 1/20/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1982

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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