Laban M. Spalding

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CRD#: 1922689

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.

Laban Matthew Spalding, who also goes by L Matthew Spalding, Matthew L Spalding, Matthew Spalding, was a registered financial professional .

Laban is a previously registered financial professional and started their career in finance in 2015. Laban had worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

L Matthew Spalding | Matthew L Spalding | Matthew Spalding

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.

AFLAC-SPALDING GROUP LABAN MATTHEW SPALDING IS A LICENSED INSURANCE AGENT. HE MARKETS AND SELLS LIFE INSURANCE PRODUCTS AND RECEIVES COMMISSIONS FROM THE INDIVIDUAL INSURANCE CARRIERS ON THE SALE OF THOSE PRODUCTS. HOURS VARY ON A MONTHLY BASIS. FEDERAL BENEFITS ADVISORY LABAN MATHTEW SPALDING IS A REGIONAL AFFILIATE OF FBA. HE PROVIDES EDUCATION AND TRAINING TO VARIOUS TYPES OF EMPLOYEES, TEACHING THEM ABOUT THEIR EMPLOYEE BENEFITS. HE MAY RECEIVE A NOMINAL TRAINING FEE PAID BY THE AGENCY OR ORGANIZATION. HOURS VARY ON A MONTHLY BASIS. JD Mellberg Financial LLC Non-Investment related business - Licensed Insurance Agent 04/2018 - PRESENT Hours vary depending upon business needs and all during trading hours. Carington Financial -DBA Investment Related 2660 Townsgate RD Ste 110, Westlake Village, CA 91361 Investment Advising Investment Advisor Representative 35 hours per month devoted 35 hours per month devoted during securities hours Meeting with Client and Potential Clients about investments

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

July 11, 2019 - March 11, 2022

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

WESTLAKE VILLAGE, CA

Past

March 12, 2019 - June 24, 2019

SPECIALIZED ADVISORS

RIA

CRD#: 299308

Studio City, CA

Past

April 26, 2018 - March 11, 2019

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Studio City, CA

Past

August 26, 2015 - December 31, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

WESTLAKE VILLAGE, CA

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 65

Date: 4/23/2015

Uniform Investment Adviser Law 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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Laban M. Spalding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

SPECIALIZED ADVISORS

SECURE INVESTMENT MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/2015

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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