Dennis M. Merritt

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CRD#: 1748115

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.

Dennis Mark Adam Merritt was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 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.

The advisor shows no other business activity.

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®

None

Experience

Past

May 27, 2014 - June 24, 2016

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

TAMPA, FL

Past

March 11, 2014 - June 24, 2016

J.W. COLE FINANCIAL, INC.

CRD#: 124583

CLEARWATER, FL

Past

August 1, 2013 - October 29, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

CLEARWATER, FL

Past

June 19, 2009 - May 13, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PALM HARBOR, FL

Past

June 12, 2009 - May 13, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PALM HARBOR, FL

Past

March 6, 2007 - June 12, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

CLEARWATER, FL

Past

February 13, 2007 - June 12, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

CLEARWATER, FL

Past

January 24, 2005 - February 20, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

CLEARWATER , FL

Past

September 26, 1994 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

CLEARWATER, FL

Past

June 14, 1993 - September 13, 1994

NATIONSSECURITIES

CRD#: 32542

Past

September 29, 1992 - June 18, 1993

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

December 24, 1990 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

August 10, 1990 - August 25, 1992

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 1, 1988 - August 10, 1990

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

May 14, 1988 - September 2, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

October 21, 1987 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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: 9/18/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/4/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/24/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/27/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/1995

General Securities Principal 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

Dennis M. Merritt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CETERA INVESTMENT SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

NATIONSSECURITIES

KEMPER FINANCIAL SERVICES, INC.

CITICORP FINANCIAL SERVICES,INC.

CITICORP INVESTMENT SERVICES

EMPIRE NATIONAL SECURITIES, INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2003

Series 63

Date: 11/4/1987

SIE

Date: 6/24/2016

Series 3

Date: 1/27/1988

Series 7

Date: 10/17/1987

Series 24

Date: 10/24/1995

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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