John E. Sebastian

J. W. COLE ADVISORS

WINTER PARK, FL 32792

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CRD#: 1520861

Professional summary

John Ernest Sebastian is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Winter Park, Florida and J.W. COLE FINANCIAL, INC. located in Winter Park, Florida.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 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)AMERICAN FINANCIAL GROUP LIMITED, INC, / INVESTMENT RELATED/ INDEPENDENT INSURANCE SALES/ COMMENCED 08/1970/ CORPORATION/ 120 HOURS PER MONTH TIME SPENT/ 100% OWNERSHIP, PRESIDENT/OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ernest Sebastian'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

May 13, 2011 - Present

J. W. COLE ADVISORS, INC.

Office #1: 1940 Magnolia Avenue, Winter Park, FL 32792

RIA

CRD#: 112294

WINTER PARK, FL

Current

May 3, 2011 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

WINTER PARK, FL

Past

August 12, 2010 - May 5, 2011

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

WINTER PARK, FL

Past

September 5, 2008 - May 5, 2011

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

WINTER PARK, FL

Past

March 13, 2004 - September 4, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

MAITLAND, FL

Past

July 13, 2001 - March 18, 2004

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 7, 2000 - May 29, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 20, 1996 - June 2, 2000

IAC SECURITIES, INC.

CRD#: 14081

TINLEY PARK, IL

Past

February 24, 1994 - November 3, 1994

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923

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
(5/3/2011)

Florida
(5/3/2011)

IAR

Florida
(5/13/2011)

Illinois
(5/3/2011)

Oklahoma
(1/3/2012)

South Dakota
(5/3/2011)

Texas
(10/31/2024)

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: 7/22/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/12/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/23/1994

Investment Company Products/Variable Contracts 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.

Contact information

xxxxx@xxxx.xxx

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John E. Sebastian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ernest Sebastian's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

WALNUT STREET SECURITIES, INC.

PRUCO SECURITIES, LLC.

IAC SECURITIES, INC.

SIGNATURE ESTATE SECURITIES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/22/2010

Series 65

Date: 7/12/2010

SIE

Date: 10/1/2018

Series 6

Date: 2/23/1994

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

Contact information

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