Richard P. Sabo

J. W. COLE ADVISORS

GIBSONIA, PA 15044

CRD#: 1863167

Professional summary

Richard Paul Sabo, who also goes by Rick Sabo, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Gibsonia, Pennsylvania and J.W. COLE FINANCIAL, INC. located in Gibsonia, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Sabo

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) - RIA

Click below to view Richard Paul Sabo'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

August 18, 2014 - Present

J. W. COLE ADVISORS, INC.

Office #1: 5061 Route 8, Gibsonia, PA 15044

RIA

CRD#: 112294

GIBSONIA, PA

Current

August 15, 2014 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 5061 Route 8, Gibsonia, PA 15044

CRD#: 124583

Gibsonia, PA

Past

June 7, 2012 - August 14, 2014

SPC

RIA

CRD#: 110692

GIBSONIA, PA

Past

August 26, 2011 - August 14, 2014

PARKLAND SECURITIES, LLC

CRD#: 115368

GIBSONIA, PA

Past

December 23, 1992 - August 29, 2011

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

GIBSONIA, PA

Past

April 24, 1992 - December 31, 1992

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

April 26, 1991 - June 24, 1992

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 26, 1991 - June 24, 1992

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Florida
(8/15/2014)

Georgia
(8/15/2014)

Maine
(8/15/2014)

Michigan
(5/6/2024)

New York
(8/15/2014)

North Carolina
(8/15/2014)

Ohio
(1/3/2020)

Pennsylvania
(8/18/2014)

IAR

Pennsylvania
(8/18/2014)

South Carolina
(1/14/2022)

Texas
(9/24/2019)

Virginia
(10/21/2019)

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: 5/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/23/1991

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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Firm Stability Insights

Richard P. Sabo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Sabo's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

SPC

PARKLAND SECURITIES, LLC

MONEY CONCEPTS CAPITAL CORP

THE O.N. EQUITY SALES COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/1991

SIE

Date: 10/1/2018

Series 6

Date: 4/23/1991

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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