Paul L. Thiels

J. W. COLE ADVISORS

New Orleans, LA 70130

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CRD#: 1556446

Professional summary

Paul Louis Thiels, AIF®, CPWA® is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in New Orleans, Louisiana and J.W. COLE FINANCIAL, INC. located in New Orleans, Louisiana.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Paul has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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) Advisor Choice; Insurance Brokerage Services; Not Investment Related; 515 Main Street, Suite 414, Thousand Oaks, CA 91360; Agent; Independent Agency; Start 9/2005; 1-2 hours a month. (2) Cypress Wealth Management; DBA; 900 Camp Street, Ste 3C10, New Orleans, LA 70130; Not investment related; Owner/Principal; This is the name that I hold out to the public for my practice; Start 5/2009; Approximate 160 hours/month, 0 during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Louis Thiels'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®

AIF^®

Accredited Investment Fiduciary

CPWA^®

Certified Private Wealth Advisor

Start date: 2022-06-08

Expire date: 2024-05-31

Experience

Current

December 15, 2023 - Present

J. W. COLE ADVISORS, INC.

Office #1: 900 Camp Street, New Orleans, LA 70130

RIA

CRD#: 112294

New Orleans, LA

Current

December 15, 2023 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 900 Camp Street Suite 3c10, New Orleans, LA 70130

CRD#: 124583

New Orleans, LA

Past

May 27, 2009 - December 20, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

New orleans, LA

Past

May 27, 2009 - December 20, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

NEW ORLEANS, LA

Past

January 1, 2004 - May 28, 2009

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NEW ORLEANS, LA

Past

February 21, 2003 - May 28, 2009

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEW ORLEANS, LA

Past

January 8, 2003 - March 12, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 31, 2002 - August 26, 2002

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 10, 1997 - May 26, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 18, 1994 - December 4, 1996

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

May 8, 1987 - April 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 26, 1986 - November 26, 1986

SWINK & COMPANY, INC.

CRD#: 7111

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

Alabama
(4/24/2025)

Arizona
(12/15/2023)

California
(12/15/2023)

Florida
(12/15/2023)

Georgia
(12/15/2023)

Illinois
(12/15/2023)

Louisiana
(12/15/2023)

IAR

Louisiana
(12/15/2023)

Mississippi
(12/15/2023)

New York
(4/24/2025)

North Carolina
(12/15/2023)

Tennessee
(12/15/2023)

Texas
(12/15/2023)

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

IAR

Series 65

Date: 5/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1986

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: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2005

General Securities Principal 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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Paul L. Thiels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Louis Thiels's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT ADVISERS LLC

CAPITAL BROKERAGE CORPORATION

CAPITAL BROKERAGE CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

PIPER SANDLER & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SWINK & COMPANY, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2016

Series 63

Date: 10/2/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Series 24

Date: 1/31/2005

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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