James E. Mathias
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 Edward Mathias III, who also goes by James Edward Mathias, Jim Mathias, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - December 31, 2019
J. W. COLE ADVISORS, INC.
July 31, 2018 - December 31, 2019
J.W. COLE FINANCIAL, INC.
November 1, 2017 - August 2, 2018
CETERA WEALTH SERVICES, LLC
November 1, 2017 - August 2, 2018
CETERA WEALTH SERVICES, LLC
February 19, 2013 - November 1, 2017
GIRARD SECURITIES, INC.
January 31, 2013 - November 1, 2017
GIRARD SECURITIES, INC.
May 31, 2012 - February 20, 2013
FOCUS FINANCIAL WEALTH MANAGEMENT, INC.
January 17, 2012 - June 25, 2012
FOCUS FINANCIAL PLANNING, LLC
October 30, 2010 - December 31, 2011
FOCUS FINANCIAL PLANNING, LLC
November 21, 2005 - February 5, 2013
INVEST FINANCIAL CORPORATION
November 21, 2005 - February 5, 2013
INVEST FINANCIAL CORPORATION
March 26, 2004 - September 8, 2005
FOCUS FINANCIAL PLANNING, LLC
January 1, 2004 - November 29, 2005
CETERA ADVISORS LLC
January 1, 2004 - November 29, 2005
CETERA ADVISORS LLC
January 8, 2003 - January 1, 2004
IFG ADVISORY SERVICES INC
March 1, 2000 - January 2, 2004
IFG NETWORK SECURITIES, INC.
October 19, 1998 - March 1, 2000
SII INVESTMENTS, INC.
June 16, 1995 - October 19, 1998
SUNAMERICA SECURITIES, INC.
May 5, 1992 - June 16, 1995
MARINER FINANCIAL SERVICES, INC.
January 23, 1990 - May 15, 1992
OLD SLIP CAPITAL MANAGEMENT, INC.
January 20, 1987 - December 2, 1989
TOWER SQUARE SECURITIES, INC.
July 24, 1985 - December 4, 1986
JOHN HANCOCK DISTRIBUTORS LLC
September 20, 1983 - June 11, 1985
SENTRY EQUITY SERVICES, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
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
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.
