Rocco N. Tatasciore

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CRD#: 1306389

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.

Rocco Nicholas Tatasciore, who also goes by Rocco Nicholas Tatasciore Jr, was a registered financial professional .

Rocco is a previously registered financial professional and started their career in finance in 1984. Rocco had worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rocco Nicholas Tatasciore Jr

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) Tripoint Wealth Solutions, LLC; DBA; Non-investment related; 2180 Immokalee Road, Suite 209, Naples, FL 34110; Tax and accounting; President; accounting and tax preparation; Start 6/1/1988; 10 hrs/mo, 10 hrs/mo during trading. (2) Strada Wealth Management, PLLC; DBA; Investment Related; 2180 Immokalee Road, Suite 209, Naples, FL 34110; Investment Advisory; Financial Advisor Assistant; Start 1/1/2021; 160 hrs/mo, 160 hrs/mo 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

August 10, 2021 - June 9, 2025

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Naples, FL

Past

August 4, 2021 - June 9, 2025

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Naples, FL

Past

July 17, 2020 - August 6, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

BONITA SPRINGS, FL

Past

July 17, 2020 - August 6, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

BONITA SPRINGS, FL

Past

October 30, 2006 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

Bonita Springs, FL

Past

September 12, 1988 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

BONITA SPRINGS, FL

Past

January 5, 1988 - September 23, 1988

FOCUS SECURITIES, INC.

CRD#: 15023

Past

July 15, 1987 - January 11, 1988

MONARCH INVESTMENTS INC.

CRD#: 18208

Past

May 18, 1987 - July 6, 1987

EXETER SECURITIES CORPORATION

CRD#: 16543

Past

January 29, 1986 - March 27, 1987

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

October 16, 1984 - December 4, 1985

SIGNATOR INVESTORS, INC.

CRD#: 468

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 66

Date: 10/11/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/1984

Investment Company Products/Variable Contracts Representative 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

Rocco N. Tatasciore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

FOCUS SECURITIES, INC.

MONARCH INVESTMENTS INC.

EXETER SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2006

Series 63

Date: 10/30/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 6

Date: 10/12/1984

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

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