DJ
Doran C. James
J. W. COLE ADVISORS
Rock Springs, WY 82901
Some features on this profile are disabled
CRD#: 1764628
DJ
Professional summary
Doran Calvin James is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Rock Springs, Wyoming and J.W. COLE FINANCIAL, INC. located in Rock Springs, Wyoming.
Doran is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Doran has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 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.
(1) Wyoming Wealth Management, LLC; DBA; Investment Related; 2620 Commercial Way, Ste 100, Rock Springs, WY 82901; Partner; Create and contact clients, best interest financial guidance, human resource, business continuity; Start 9/15/2011; 160 hrs/mo, 160 hr/mo during trading. (2) DORAN C JAMES, INC; Not investment related; 2924 Campbell Lane; Rocky Springs, WY 82901; Owner; Created for tax purposes; Start 3/15/2012; 0 hh/mo; 0 during trading house. (3) Doran C. James Living Trust; Not investment related; Not investment Related; 2924 Campbell Lane, Rock Springs, WY 82911; Cotrol/Tustee; Personal trust management; Start 6/15/2005; 0 hr/mo, 0 during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Doran Calvin James's 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®
NoneExperience
Current
June 20, 2023 - Present
J. W. COLE ADVISORS, INC.
Office #1: 2620 Commercial Way Suite 100, Rock Springs, WY 82901RIA
CRD#: 112294
Rock Springs, WY
Current
June 20, 2023 - Present
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Rock Springs, WY
Past
November 11, 2011 - May 8, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCK SPRINGS, WY
Past
November 11, 2011 - May 8, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCK SPRINGS, WY
Past
June 1, 2009 - November 18, 2011
MORGAN STANLEY
RIA
CRD#: 149777
ROCK SPRING, WY
Past
June 1, 2009 - November 18, 2011
MORGAN STANLEY
BD
CRD#: 149777
ROCK SPRING, WY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ROCK SPRING, WY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ROCK SPRING, WY
Past
June 6, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ROCK SPRING, WY
Past
June 3, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ROCK SPRING, WY
Past
July 31, 1993 - June 20, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 25, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)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.RR
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
RR
Arizona(6/20/2023)
RR
Arkansas(6/20/2023)
RR
California(6/20/2023)
RR
Colorado(6/20/2023)
RR
Idaho(6/20/2023)
RR
Kansas(6/20/2023)
RR
Louisiana(6/20/2023)
RR
Minnesota(6/20/2023)
RR
Missouri(6/20/2023)
RR
Montana(6/21/2023)
RR
Nevada(6/20/2023)
RR
New Mexico(6/20/2023)
RR
Oregon(8/30/2024)
RR
South Dakota(6/20/2023)
RR
Texas(6/20/2023)
RR
Utah(6/20/2023)
RR
Washington(6/20/2023)
RR
Wyoming(6/20/2023)
IAR
Wyoming(6/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Rock Springs, WY 82901TRUST BUT VERIFY
Monitor Doran James
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
