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.
(1) DBA: RPS FINANCIAL SOLUTIONS; INVESTMENT RELATED; 5061 ROUTE 8., GIBSONIA, PA 15044; FINANCIAL PLANNING FIRM; OWNER/RR; AUGUST 2011; 100 HRS/MONTH; 140 HRS/MON DURING TRADING HOURS; RUN FINANCIAL PLANNING FIRM; COMPANY OFFICER/DIRECTOR POSITION; CLIENT INVOLVEMENT. (2) INSURANCE & FIXED ANNUITY BUSINESS; INVESTMENT RELATED BUSINESS; 5061 ROUTE 8, GIBSONIA, PA 15044; LIFE INSURANCE & FIXED ANNUITIES; OWNER/AGENT; 3/92; 90 HRS/MONTH, 60 HRS/MONTH DURING TRADING HOURS; SELL & PRICES LIFE & ANNUITY APP; COMPANY OFFICER/DIRECTOR POSITION; CLIENT INVOLVEMENT. (3) TAX PREPARATION - SABO & ASSOCIATES, INC; 5061 ROUTE 8., GIBSONIA, PA 15044; HOURS VARY DURING TAX SEASON. STARTED 1994. (4) SABO PROPERTIES LL; C5061 ROUTE 8., GIBSONIA, PA 15044; CO-OWNER ; HOURS PER WEEK VARY. COMMERCIAL REAL ESTATE. LANDLORD. STARTED 2001. (5) DBA: RPS LEGAL CONSULTANTS. I CONSULT AND TESTIFY AS AN EXPERT WITNESS ON INSURANCE AND INVESTMENT FRAUD. STARTED 1994. HOURS VARY THROUGHOUT YEAR. ALL OF THE ABOVE I RUN OUT OF MY OFFICE AT 5061 ROUTE 8, GIBSONIA, PA 15044. (6) I AM A NOTARY PUBLIC FOR THE STATE OF PA SINCE 4/22/2008 BUT DO NOT CHARGE FEES; 5061 ROUTE 8., GIBSONIA, PA 15044. (7) Co-Durable Power of Attorney and Co-Trustee for Sister-in-law; 5061 ROUTE 8., GIBSONIA, PA 15044; 6/20/2016; Client Involvement: Yes; 0 hours per month, 0 hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Paul Sabo'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
August 18, 2014 - Present
J. W. COLE ADVISORS, INC.
Office #1: 5061 Route 8, Gibsonia, PA 15044RIA
CRD#: 112294
GIBSONIA, PA
Current
August 15, 2014 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 5061 Route 8, Gibsonia, PA 15044BD
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
BD
CRD#: 115368
GIBSONIA, PA
Past
December 23, 1992 - August 29, 2011
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
GIBSONIA, PA
Past
April 24, 1992 - December 31, 1992
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
April 26, 1991 - June 24, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 26, 1991 - June 24, 1992
MSI FINANCIAL SERVICES, INC.
BD
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".
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
Florida(8/15/2014)
RR
Georgia(8/15/2014)
RR
Maine(8/15/2014)
RR
Maryland(3/24/2025)
RR
Michigan(5/6/2024)
RR
New York(8/15/2014)
RR
North Carolina(8/15/2014)
RR
Ohio(1/3/2020)
RR
Pennsylvania(8/18/2014)
IAR
Pennsylvania(8/18/2014)
RR
South Carolina(1/14/2022)
RR
Texas(9/24/2019)
RR
Virginia(10/21/2019)
RR
West Virginia(3/24/2025)
Exams
State Security Law 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
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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)
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.
