Michael L. Hughes

J. W. COLE ADVISORS

Laguna Niguel, CA 92677

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CRD#: 1498127

Professional summary

Michael Lewis Hughes is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Laguna Niguel, California and J.W. COLE FINANCIAL, INC. located in Laguna Niguel, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lewis Hughes'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

February 18, 2015 - Present

J. W. COLE ADVISORS, INC.

Office #1: 30092 Ivy Glenn Drive Suite #210, Laguna Niguel, CA 92677

RIA

CRD#: 112294

Laguna Niguel, CA

Current

May 10, 2013 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 30092 Ivy Glenn Dr. Suite #210, Laguna Niguel, CA 92677

CRD#: 124583

Laguna Niguel, CA

Past

May 10, 2013 - December 9, 2013

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

TAMPA, FL

Past

June 25, 2008 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

LAGUNA NIGUEL, CA

Past

March 30, 2007 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

LAGUNA NIGUEL, CA

Past

August 23, 2002 - March 30, 2007

GIRARD SECURITIES, INC.

CRD#: 18697

LAGUNA HILLS, CA

Past

January 23, 1992 - September 5, 2002

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

May 23, 1986 - February 11, 1992

CROWELL, WEEDON & CO.

CRD#: 193

LOS ANGELES, CA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(5/10/2013)

IAR

California
(2/18/2015)

Colorado
(5/10/2013)

Hawaii
(5/10/2013)

Illinois
(2/3/2020)

Maryland
(1/3/2017)

Massachusetts
(1/3/2017)

Michigan
(5/10/2013)

Nevada
(5/25/2017)

New Mexico
(6/29/2017)

North Carolina
(1/5/2021)

Ohio
(5/10/2013)

Oklahoma
(1/2/2018)

Oregon
(1/3/2017)

Pennsylvania
(5/10/2013)

Texas
(1/2/2018)

Utah
(5/25/2017)

Virginia
(1/2/2018)

Washington
(5/10/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

SRO Registrations

FINRA

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

Michael L. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lewis Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

J. W. COLE ADVISORS, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

GIRARD SECURITIES, INC.

SPELMAN & CO., INC.

CROWELL, WEEDON & CO.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/10/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

FINRA

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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