DJ
Douglas W. Johnson
J. W. COLE ADVISORS
Bedford, IN 47421
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CRD#: 1321574
DJ
Professional summary
Douglas Wayne Johnson, CFP® is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Bedford, Indiana and J.W. COLE FINANCIAL, INC. located in Bedford, Indiana.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Douglas has worked at 11 firms and has passed the Series 63, SIE and Series 7 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) DKRP, LLC; MANAGING MEMBER; HOLDING COMPANY FOR PERSONAL REAL ESTATE INVESTMENTS; P.O. BOX 159, BEDFORD,IN 47421; TITLE/POSITION MANAGING MEMBER; START DATE 2006; 20 HRS PER MONTH, 0 DURING TRADING HRS; DUTIES: MANAGEMENT; OFFICER/DIRECTOR:YES; NO CLIENT INVOLVED; NO ANTICIPATED ANNUAL COMPENSATION. (2) DBA - JA BENEFITS, LLC; ADDRESS SAME AS BRANCH LOCATION; BUSINESS: EMPLOYEE BENEFIT CONSULTING; VICE CHAIRMAN/PARTNER; 120 HRS PER MO, 120 HRS DURING TRADING; FIXED INSURANCE ACTIVITY. (3) DLJ HOLDINGS, LLC; NON-INVESTMENT RELATED; 3488 E CLEVE BUTCHER ROAD, INDIANA; HOLDINGS COMPANY FOR PERSONAL ASSETS; MANAGING MEMBER; START: 07/11/2016; 2 HRS/MO, 2 TRADING HRS; ACCOUNTING AND OPERATIONS & OWNERSHIP INTEREST IN LODESTONE EVENTS, LLC; OFFICER/DIRECTOR; NO CLIENTS INVOLVED; NO COMPENSATION ANTICIPATED. (4) JA Ventures, LLC - wholly owned subsidiary of JA Benefits, LLC; not investment related; start date 7/1/2020 - indirect ownership; 1630 H Street Bedford, Indiana 47421; JA Benefits LLC is sole member; 0 hours per month. (5) Pathfinder Advisors, LLC; not investment related; start date 9/28/2020 - partner; 1630 H Street Bedford, Indiana 47421; Care advocacy/advisory and contracting organization; 10 hours per month, 10 hours during trading. (6) DLJ Enterprises, LLC - Managing Member; Address: 3488 E Cleve Butcher Rd. Start Date: 6/15/2020, Holding Company, Non Investment Related, 5 hours per month during non trading hours (7) J.W. Cole Financial Inc (BD) - Registered Representative; Address: 1630 H Street, Bedford, IN 4742; Investment Related - Yes; Number of hours per month during trading hours: 10; Number of hours per month during non trading hours: 4 (8) J. W. Cole Advisors Inc (RIA) - Investment Adviser Representative; Address: 1630 H Street, Bedford, IN 4742; Investment Related - Yes; Number of hours per month during trading hours: 10; Number of hours per month during non-trading hours: 4
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Wayne Johnson'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®
CFP®
Start date: 1990
Experience
Current
December 1, 2015 - Present
J. W. COLE ADVISORS, INC.
Office #1: 1630 H Street, Bedford, IN 47421RIA
CRD#: 112294
Bedford, IN
Current
December 1, 2015 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 1630 H. Street, Bedford, IN 47421BD
CRD#: 124583
Bedford, IN
Past
January 10, 2023 - February 13, 2025
CFCI
RIA
CRD#: 128257
BLOOMINGTON, IN
Past
March 30, 2010 - December 1, 2015
SPC
RIA
CRD#: 110692
BEDFORD, IN
Past
March 1, 2010 - December 1, 2015
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
BEDFORD, IN
Past
October 24, 2006 - March 12, 2010
OSAIC FS, INC.
RIA
CRD#: 3870
BEDFORD, IN
Past
October 2, 2006 - March 12, 2010
OSAIC FS, INC.
BD
CRD#: 3870
BEDFORD, IN
Past
December 21, 1998 - October 4, 2006
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BEDFORD, IN
Past
March 17, 1994 - October 4, 2006
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BEDFORD, IN
Past
April 9, 1991 - April 11, 1994
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
June 1, 1990 - February 4, 1991
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
December 13, 1985 - December 20, 1989
PRINCETON AMERICAN EQUITIES CORPORATION
BD
CRD#: 14491
PHOENIX, AZ
Past
January 25, 1985 - December 11, 1985
FSC SECURITIES CORPORATION
BD
CRD#: 7461
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
Indiana(12/1/2015)
IAR
Indiana(12/1/2015)
RR
Kentucky(12/1/2015)
RR
Ohio(12/1/2015)
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
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.
