James E. Herzog

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CRD#: 1033540

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Elmer Herzog, who also goes by James E Herzog, Jim Herzog, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1982. James had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James E Herzog | Jim Herzog

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.

1) FIXED INSURANCE 2) A) FINANCIAL CORNERSTONE GROUP - DBA B) INVESTMENT RELATED C)FINANCIAL SERVICES DBA NAME D) 7/2/18

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 29, 2017 - December 31, 2024

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Rockledge, FL

Past

November 29, 2017 - December 31, 2024

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Rockledge, FL

Past

March 22, 2017 - November 30, 2017

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Melbourne, FL

Past

March 7, 2017 - November 30, 2017

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Melbourne, FL

Past

October 10, 2012 - March 3, 2017

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

MELBOURNE, FL

Past

December 3, 2010 - March 3, 2017

CADARET, GRANT & CO., INC.

CRD#: 10641

MELBOURNE, FL

Past

November 18, 2009 - December 8, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

MELBOURNE, FL

Past

September 8, 2009 - December 1, 2009

LPL FINANCIAL LLC

CRD#: 6413

MELBOURNE, FL

Past

December 1, 2006 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

MELBOURNE, FL

Past

November 19, 2002 - December 8, 2006

SII INVESTMENTS, INC.

CRD#: 2225

MELBOURNE, FL

Past

October 10, 1989 - November 19, 2002

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

April 9, 1983 - October 21, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 16, 1982 - April 28, 1983

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/3/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/18/1988

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: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/29/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/2001

General Securities Principal Examination

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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Advisor Monitoring

Firm Stability Insights

James E. Herzog

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

NEXT FINANCIAL GROUP, INC.

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

SII INVESTMENTS, INC.

CADARET, GRANT & CO., INC.

INTEGRATED RESOURCES EQUITY CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/3/2012

Series 63

Date: 8/18/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1983

Series 22

Date: 3/29/1983

Series 6

Date: 3/9/1982

Series 24

Date: 2/21/2001

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.

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