EF
Edward L. Fredericks
J. W. COLE ADVISORS
Glastonbury, CT 06033
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CRD#: 1095689
EF
Professional summary
Edward Leonard Fredericks is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Glastonbury, Connecticut and J.W. COLE FINANCIAL, INC. located in Glastonbury, Connecticut.
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 7 firms and has passed the Series 63, SIE and Series 6 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.
1. INSURANCE - AGENT
2. RENTAL PROPERTY: 114 FRANKLIN AVENUE, HARTFORD CT 06114 - LANDLORD
3. RENTAL PROPERTY: 13427 BLUE HERON VEACH DR. UNIT 1807, ORLANDO, FL 32821
4. RENTAL PROPERTY: 1093 CANYON ROAD, UNIT 612, WISCONSIN DELLS, WI 53965
5. FIRST FINANCIAL ASSOCIATE, LLC; "DOING BUSINESS AS" (DBA); START DATE: 05/30/08
6. Edward L Fredericks Associates LLC; Principal; Holding Company or Tax/Bill payment Entity; start date 08/11/2016; 4 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Leonard Fredericks's 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®
NoneExperience
Current
February 3, 2017 - Present
J. W. COLE ADVISORS, INC.
Office #1: 180 Glastonbury Boulevard #104a, Glastonbury, CT 06033RIA
CRD#: 112294
Glastonbury, CT
Current
January 31, 2017 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 180 Glastonbury Boulevard #104a, Glastonbury, CT 06033BD
CRD#: 124583
Glastonbury, CT
Past
May 30, 2008 - January 31, 2017
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
GLASTONBURY, CT
Past
January 3, 2007 - March 13, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
GLASTONBURY, CT
Past
August 14, 1995 - January 3, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
GLASTONBURY, CT
Past
April 10, 1995 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
GLASTONBURY, CT
Past
February 19, 1983 - February 2, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)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.RR
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
RR
Colorado(1/31/2017)
RR
Connecticut(2/3/2017)
IAR
Connecticut(2/3/2017)
RR
Florida(1/31/2017)
RR
Georgia(1/31/2017)
RR
Hawaii(2/3/2017)
RR
Kentucky(1/31/2017)
RR
Massachusetts(2/24/2017)
RR
Michigan(1/7/2021)
RR
Missouri(6/14/2022)
RR
Nevada(1/31/2017)
RR
New Hampshire(1/31/2017)
RR
New Jersey(1/31/2017)
RR
New York(1/31/2017)
RR
North Carolina(3/9/2017)
RR
Rhode Island(3/7/2017)
RR
South Carolina(1/31/2017)
RR
Texas(5/16/2018)
RR
Virginia(3/16/2022)
RR
Wisconsin(3/15/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
