Martin D. Barinaga

J. W. COLE ADVISORS

HUNTSVILLE, AL 35811

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CRD#: 1932496

Professional summary

Martin Dennis Ian Barinaga, who also goes by Marty Barinaga, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Huntsville, Alabama and J.W. COLE FINANCIAL, INC. located in Huntsville, Alabama.

Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Martin has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marty Barinaga

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) A. TERM LIFE INSURANCE B. 40 HRS/MONTH C. $100 COMPENSATION. (2) DBA: MARTIN D BARINAGA INVESTMENTS; INVESTMENT RELATED; 5004 Nancy Circle, HUNTSVILLE, AL 35811; CLIENTS INVOLVED. (3) Huntsville adult soccer league; referee or linesman for local soccer games; not investment related; start date: 3/6/2023; 0 hour per month during trading. (4) Huntsville Knights soccer club; Head soccer coach for high school team; not investment related; start date: 3/23/2023; 0 hour per month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Dennis Ian Barinaga'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

January 5, 2009 - Present

J. W. COLE ADVISORS, INC.

Office #1: 5004 Nancy Circle, Huntsville, AL 35811

RIA

CRD#: 112294

HUNTSVILLE, AL

Current

December 18, 2008 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 5004 Nancy Circle, Huntsville, AL 35811

CRD#: 124583

HUNTSVILLE, AL

Past

November 14, 2003 - December 22, 2008

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

HUNTSVILLE, AL

Past

November 14, 2003 - December 22, 2008

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

HUNTSVILLE, AL

Past

January 1, 1999 - November 28, 2003

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HUNTSVILLE, AL

Past

April 24, 1996 - November 28, 2003

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 7, 1994 - April 29, 1996

BOLTON GLOBAL CAPITAL

CRD#: 15650

BOLTON, MA

Past

August 20, 1990 - February 28, 1994

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

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

Alabama
(12/18/2008)

IAR

Alabama
(1/5/2009)

North Carolina
(12/18/2008)

Tennessee
(4/8/2025)

Texas
(4/26/2024)

IAR

Texas
(10/21/2025)

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: 8/17/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1990

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.

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Firm Stability Insights

Martin D. Barinaga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Dennis Ian Barinaga's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

BOLTON GLOBAL CAPITAL

THE INVESTMENT CENTER, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/1990

SIE

Date: 10/1/2018

Series 7

Date: 12/28/1994

Series 6

Date: 8/17/1990

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

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