Stephen M. Monagas

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CRD#: 1710405

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.

Stephen Michael Monagas, CFP® was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 17 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)A) BRIDGESPAN B)INVESTMENT RELATED:YES C)ADDRESS:2134 ALT 19 N STE B#10;PALM HARBOR, FL 34683 C) SELLING SECURITIES PRODUCTS AND LIFE-FIXED INSURANCE/VA PRODUCTS, WHERE SUITABLE D)REPRESENTATIVE E)START DATE:F)05.2015 G) 30 HRS PER MONTH H)30 HRS DURING TRADING I) MARKETING OF FINANCIAL SERVICES J) OFFICER/DIRECTOR:NO K) CLIENTS INVOLVED:YES 2)A) LIFE INSURANCE AND VARIABLE ANNUITY B)INVESTMENT RELATED:YES C)ADDRESS:2134 ALT 19 N STE B#10;PALM HARBOR, FL 34683 D)LIFE INSURANCE PRODUCTS E)INSURANCE AGENT F) 5/2015 G) 30 HRS PER MONTH H) 30 HRS DURING TRADING I)SELLING INSURANCE PRODUCTS J) OFFICER/DIRECTOR: NO CLIENTS INVOLVED: YES 3)A) MONAGAS TAX LLC B)ADDRESS: SAME AS BRANCH C) TAX PREPARATION D)TITLE/POSITION:OWNER E)START DATE: 12/2015 F)100 HRS PER MON G) 80 HRS PER MONTH DURING TRADING H) DUTIES: MGMT AND TAX PREPARATION I) CLIENTS INVOLVED: YES

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: 2005

Experience

Past

March 31, 2016 - March 21, 2022

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Brooksville, FL

Past

March 23, 2016 - March 21, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Brooksville, FL

Past

August 18, 2015 - March 15, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

PALM HARBOR, FL

Past

July 7, 2015 - March 15, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PALM HARBOR, FL

Past

March 12, 2009 - February 4, 2015

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

January 15, 2008 - February 4, 2015

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

WINTER HAVEN, FL

Past

February 17, 2006 - October 2, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

February 6, 2006 - October 2, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

November 12, 2004 - June 22, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

July 22, 2002 - November 23, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 3, 2001 - July 25, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 4, 1999 - March 8, 2001

WILLIAM R. HOUGH & CO.

CRD#: 2235

ST. PETERSBURG, FL

Past

April 1, 1998 - December 11, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

June 1, 1992 - April 1, 1998

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

November 19, 1989 - April 21, 1992

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 18, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 12, 1988 - July 22, 1988

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

Past

October 28, 1987 - January 19, 1988

PHILIPS, APPEL & WALDEN, INC.

CRD#: 659

Past

August 20, 1987 - September 9, 1987

H.J. MEYERS & CO., INC.

CRD#: 15609

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 66

Date: 5/22/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/8/1987

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: 8/15/1987

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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Advisor Monitoring

Firm Stability Insights

Stephen M. Monagas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WILLIAM R. HOUGH & CO.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BARNETT INVESTMENTS, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

PHILIPS, APPEL & WALDEN, INC.

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2009

Series 63

Date: 12/8/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

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.

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