Robert F. Schlager

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CRD#: 1058370

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.

Robert Frederick Schlager, who also goes by Bob Schlager, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Schlager

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)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)ELEANOR SCHLAGER FAMILY TRUST, 1670 Edith Esplanade, Cape Coral, FL 33904. BEGAN 4/01 AS TRUSTEE OF BROTHER'S DECEASED WIFE'S FAMILY TRUST. INVESTMENT RELATED. DEVOTES .5 HRS/MNTH .5 HRS/MNTH DURING TRADING. 3) ONE TIER, LLC (DBA: Schlager, Schlager and Levin - MMGT COMPANY FOR TAX AND FINANCIAL SERVICES 12525 NEW BRITTANY BLVD #30, FT MYERS, FL 33907 4) SSLR BUILDING, LLC - NON INVESTMENT RELATED - 12527 NEW BRITTANY BLVD #30 FORT MYERS, FL - RENTAL PROPERTY - MEMBER OF LLC - 11/12/2010 - LESS THAN 1 HOUR PER MONTH - 0 DURING TRADING HOURS 5) TIER TWO, LLC - 12525 NEW BRITTANY BLVD BLDG 30 FORT MYERS, FL 33907 - PERSONAL LLC FOR BUSINESS INCOME AND EXPENSES - 5/1/2006 - MEMBER OF LLC 6) INDEPENDENT INVESTMENT ADVISORS, LLC.; DBA; INVESTMENT RELATED; 12525 NEW BRITTANY BLVD., BLDG 30, FORT MYERS, FL 33907; OWNER AND FINANCIAL ADVISOR; FINANCIAL PLANNING DBA; 20 HOURS PER MONTH DURING TRADING

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

September 17, 2010 - October 24, 2024

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

FT. MYERS, FL

Past

September 1, 2010 - October 24, 2024

J.W. COLE FINANCIAL, INC.

CRD#: 124583

FT. MYERS, FL

Past

January 30, 2008 - December 31, 2010

SCHLAGER SCHLAGER & LEVIN

RIA

CRD#: 144104

FORT MYERS, FL

Past

August 14, 2006 - June 9, 2009

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FORT MYERS, FL

Past

August 11, 2006 - September 29, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FORT MYERS, FL

Past

January 21, 2003 - September 7, 2006

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

FT. MYERS, FL

Past

February 10, 2000 - September 7, 2006

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

FT. MYERS, FL

Past

July 29, 1997 - February 14, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

August 21, 1990 - August 4, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 15, 1989 - July 25, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

April 15, 1989 - July 25, 1990

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 23, 1982 - April 11, 1989

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

August 23, 1982 - April 11, 1989

EQUITABLE ADVISORS, LLC

CRD#: 6627

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 65

Date: 1/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/1983

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: 10/16/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/2/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/11/1997

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Robert F. Schlager

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SCHLAGER SCHLAGER & LEVIN

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ASSET & FINANCIAL PLANNING, LTD

PRIME CAPITAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

NEW ENGLAND SECURITIES

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/1998

Series 63

Date: 11/18/1983

SIE

Date: 10/1/2018

Series 7

Date: 10/16/1997

Series 22

Date: 5/2/1984

Series 6

Date: 8/20/1982

Series 24

Date: 12/17/1997

Series 26

Date: 8/11/1997

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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