Edward A. Castleberry

J. W. COLE ADVISORS

Plant City, FL

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CRD#: 1049929

Professional summary

Edward Andrews Castleberry, who also goes by Edward Andrew Castleberry, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Plant City, Florida and J.W. COLE FINANCIAL, INC. located in Plant City, Florida.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Edward has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Edward Andrew Castleberry

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) DBA - Castleberry Financial Services, Inc.; investment related; president - start date 8/1975; 3303 Michener Place, Plant City, FL 33566; DBA & fixed insurance business; 80 hours per month, 80 hours during trading. 2) Silverbrooke HOA; not investment related; president - start date 2016; PO Box 3611 Plant City, FL 33566; conduct board meetings and handle HOA business; 2 hours per month, 2 hours during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Andrews Castleberry'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

January 7, 2021 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Plant City, FL

Current

January 4, 2021 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Plant City, FL

Past

September 13, 2016 - December 31, 2020

CETERA ADVISORS LLC

RIA

CRD#: 10299

PLANT CITY, FL

Past

September 12, 2016 - December 31, 2020

CETERA ADVISORS LLC

CRD#: 10299

PLANT CITY, FL

Past

January 11, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

PLANT CITY, FL

Past

May 25, 1999 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

BRANDON, FL

Past

April 27, 1995 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

PLANT CITY, FL

Past

July 15, 1994 - April 27, 1995

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

Past

February 27, 1992 - July 15, 1994

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

June 17, 1983 - March 2, 1992

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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

Arizona
(1/4/2021)

Florida
(1/4/2021)

IAR

Florida
(1/7/2021)

Georgia
(1/4/2021)

Indiana
(6/8/2023)

Missouri
(2/10/2021)

Nevada
(3/10/2022)

North Carolina
(1/2/2025)

Tennessee
(1/4/2021)

Texas
(1/4/2021)

Virginia
(10/19/2023)

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: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 8/8/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/16/1983

Investment Company Products/Variable Contracts 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Edward A. Castleberry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Andrews Castleberry's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

FIDELITY EQUITY SERVICES CORPORATION

CARILLON INVESTMENTS, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 6/28/1984

SIE

Date: 10/1/2018

Series 22

Date: 8/8/1983

Series 6

Date: 6/16/1983

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

Contact information

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