Roy P. Laux

J.W. COLE FINANCIAL

Wildwood, NJ

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CRD#: 1314343

Professional summary

Roy Phillip Laux, who also goes by Roy P Laux, is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Wildwood, New Jersey.

Roy is registered as a RR (Registered Representative) and started their career in finance in 1985. Roy has worked at 11 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roy P Laux

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roy Phillip Laux'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

April 16, 2019 - Present

J.W. COLE FINANCIAL, INC.

Office #2: 1967 Lincoln Way, White Oak, PA 15131

CRD#: 124583

Wildwood, NJ

Past

July 1, 2013 - April 18, 2019

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

WHITE OAK, PA

Past

October 3, 2011 - June 21, 2013

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

MCKEESPORT, PA

Past

July 5, 2006 - September 30, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

MCKEESPORT, PA

Past

January 14, 2002 - June 23, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

May 29, 2001 - December 31, 2001

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

October 2, 2000 - June 4, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

September 7, 1999 - October 3, 2000

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

January 5, 1999 - June 22, 1999

CARDINAL INVESTMENTS, INC.

CRD#: 36838

COLUMBIA, IL

Past

July 24, 1997 - December 31, 1998

IMPACT FINANCIAL NETWORK, INC.

CRD#: 17924

EXCELLO, MO

Past

July 17, 1990 - July 23, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 16, 1987 - July 16, 1990

BRYN MAWR SECURITIES INC.

CRD#: 17953

KING OF PRUSSIA, PA

Past

January 2, 1985 - April 14, 1987

NYLIFE SECURITIES LLC

CRD#: 5167

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/16/2019)

Florida
(5/18/2020)

Nevada
(4/16/2019)

New Jersey
(9/6/2024)

North Carolina
(4/18/2023)

Ohio
(3/26/2020)

Pennsylvania
(4/17/2019)

South Carolina
(4/16/2019)

Exams

State Security Law Exam

Series 63

Date: 12/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 12/14/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/1984

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634

Phone number

(813) 935-6776

Established

Florida since 10/14/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JWC WEALTH PARTNERS	OWNER
FUSSA OCASIO, FERNANDO	CFO/FINOP	2471569
LOFGREN, KURT WALKER	CHIEF COMPLIANCE OFFICER	3048472
PACK, TODD JAMES	CHIEF OPERATING OFFICER	2795590
WEST, EUGENE	DESIGNATED MUNICIPAL PRINCIPAL/ROSFP	2059974
WOOD, ROBERT JULIAN	TREASURER/SECRETARY/GP/CEO	3217809

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Roy P. Laux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roy Phillip Laux's CRS (Customer Relationship Summary).

Certified licenses

Experience

G.F. INVESTMENT SERVICES, LLC

ALLIED BEACON PARTNERS, INC.

WORKMAN SECURITIES CORPORATION

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

WOODBURY FINANCIAL SERVICES, INC.

CARDINAL INVESTMENTS, INC.

IMPACT FINANCIAL NETWORK, INC.

WOODBURY FINANCIAL SERVICES, INC.

BRYN MAWR SECURITIES INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1984

SIE

Date: 10/1/2018

Series 22

Date: 12/14/1984

Series 6

Date: 10/31/1984

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.W. COLE FINANCIAL, INC.

TRUST BUT VERIFY

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