Charles A. Cockrell

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CRD#: 1412771

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.

Charles Alfred Cockrell JR, CFP®, who also goes by Al Cockrell, Charles A Cockrell Jr, Charles Alfred Jr Cockrell, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Al Cockrell | Charles A Cockrell Jr | Charles Alfred Jr Cockrell

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) CHARLES COCKRELL/ INVESTMENT RELATED/ FIXED INSURANCE/ INSURANCE BROKER OR AGENT/ MINIMAL HOURS PER MONTH (3) A) ST. FRANCIS HOUSE HOMELESS B) HOMELESS SHELTER C) BOD D) 2 HRS PER WEEK E) OFFICER F) 3 CLIENTS ARE BOARD MEMEBERS G) NO COMPENSATION (2) Clarity Wealth; investment related; CFP/Partner; DBA starting 4/1/2023; 119 NW 137th Drive, Suite 30, Newberry, FL 32669. (3)Estate of Chandler B. Otis - Executor

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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Past

August 20, 2004 - May 15, 2025

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Newberry, FL

Past

August 16, 2004 - May 15, 2025

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Newberry, FL

Past

August 28, 2002 - August 31, 2004

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

May 30, 2002 - August 29, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GAINESVILLE, FL

Past

May 29, 2002 - August 29, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 26, 1996 - May 24, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GAINESVILLE, FL

Past

April 26, 1996 - May 24, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 22, 1985 - May 1, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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 65

Date: 10/13/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/9/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities 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

Charles A. Cockrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

INVESTACORP, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/1994

Series 63

Date: 11/26/1985

SIE

Date: 10/1/2018

Series 31

Date: 8/9/1999

Series 7

Date: 10/19/1985

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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