Joseph A. Stumbroski

J. W. COLE ADVISORS

BALTIMORE, MD 21234

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CRD#: 1148339

Professional summary

Joseph Anthony Stumbroski is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Baltimore, Maryland and J.W. COLE FINANCIAL, INC. located in Baltimore, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Joseph has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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) STUMBROSKI & ASSOCIATES, INC.- DBA; NON-INVESTMENT RELATED; 2416 E. JOPPA ROAD, BALTIMORE, MD 21234; SALES AND SERVICE OF TRADITIONAL INSURANCE TO INCLUDE P&C; PRESIDENT; 11/1989; DEVOTES 80 HOURS PER MONTH; DEVOTES 40 HOURS PER MONTH DURING TRADING; DAY TO DAY SALES (2) REFERRAL SERVICE UNDER DBA STUMBROSKI & ASSOCIATES, INC.; NON-INVESTMENT RELATED; 2416 E. JOPPA ROAD BALTIMORE, MD 2134; OFFER CURRENT AND PROSPECTIVE CLIENTS PAYROLL SERVICE FROM LOCAL COMPANY; SOLICITOR; 04/01/2011; DEVOTES 1 HOUR PER MONTH; DEVOTES 1 HOURS PER MONTH DURING TRADING; REFER BUSINESS CLIENTS TO PAYROLL CO. FOR SERVICE (2) SENIOR FINANCIAL ADVISORS, LLC - DBA; INVESTMENT RELATED; 2416 E. JOPPA ROAD, BALTIMORE, MD 21234; SALES AND SERVICE OF INVESTMENT AND ADVISORY BUSINESS; PARTNER; 08/26/2002; DEVOTES 120 HOURS PER MONTH; DEVOTES 120 HOURS PER MONTH DURING TRADING; DAY TO DAY SALES (4) PROPERTY MANAGEMENT-2416 E. JOPPA ROAD, BALTIMORE, MD 21234; NON-INVESTMENT RELATED; 2416 E. JOPPA ROAD, BALTIMORE, MD 21234; PROPERTY MANAGEMENT OF OWN OFFICE; PARTNER; 12/2007; DEVOTES 20 HOURS PER MONTH; DEVOTES 0 HOURS DURING TRADING; DAY TO DAY MANAGEMENT OF OFFICE LOCATION (5) JOSEPH A. STUMBROSKI/MICHAEL V. VALENCIA PARTNERSHIP; NON-INVESTMENT RELATED; 2418 E. JOPPA ROAD, BALTIMORE, MD 21234; PROPERTY MANAGEMENT OF COMMERCIAL OFFICE RENTED TO OTHERS; PARTNER; 04/2008; DEVOTES 20 HOURS PER MONTH; DEVOTES 0 HOURS PER MONTH DURING TRADING; DAY TO DAY MANAGEMENT OF COMMERCIAL OFFICE LOCATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Stumbroski'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

July 11, 2017 - Present

J. W. COLE ADVISORS, INC.

Office #1: 2416 E. Joppa Road, Baltimore, MD 21234

RIA

CRD#: 112294

BALTIMORE, MD

Current

July 11, 2017 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 2416 E Joppa Rd, Baltimore, MD 21234

CRD#: 124583

Baltimore, MD

Past

March 6, 2013 - July 26, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

BALTIMORE, MD

Past

March 6, 2013 - July 26, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BALTIMORE, MD

Past

May 22, 2007 - March 6, 2013

SII INVESTMENTS, INC.

RIA

CRD#: 2225

BALTIMORE, MD

Past

May 22, 2007 - March 6, 2013

SII INVESTMENTS, INC.

CRD#: 2225

BALTIMORE, MD

Past

July 1, 2004 - February 27, 2006

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

BALTIMORE, MD

Past

July 1, 2004 - May 25, 2007

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

BALTIMORE, MD

Past

May 5, 1998 - July 13, 2004

CETERA ADVISORS LLC

RIA

CRD#: 10299

BALTIMORE, MD

Past

May 14, 1997 - July 13, 2004

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

July 5, 1994 - May 27, 1997

TLS FINANCIAL SERVICES, INC.

CRD#: 19625

TOWSON, MD

Past

January 5, 1994 - June 21, 1994

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

January 9, 1991 - January 5, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 3, 1986 - January 3, 1991

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

October 27, 1984 - January 23, 1986

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

Past

June 20, 1983 - March 20, 1984

PRUCO SECURITIES, LLC.

CRD#: 5685

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
(7/11/2017)

Delaware
(7/11/2017)

Florida
(7/11/2017)

Maryland
(7/11/2017)

IAR

Maryland
(7/11/2017)

North Carolina
(8/24/2017)

Pennsylvania
(7/11/2017)

South Carolina
(7/11/2017)

Virginia
(7/11/2017)

West Virginia
(1/3/2023)

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: 1/24/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1996

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: 11/5/1998

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/18/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/13/1983

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.

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Advisor Monitoring

Firm Stability Insights

Joseph A. Stumbroski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Stumbroski's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

TLS FINANCIAL SERVICES, INC.

THE O.N. EQUITY SALES COMPANY

GUARDIAN INVESTOR SERVICES LLC

PRINCIPAL SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/1997

Series 63

Date: 6/25/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/5/1998

Series 22

Date: 10/18/1985

Series 6

Date: 6/13/1983

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.

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