KR
Karen S. Roberts
J. W. COLE ADVISORS
Boca Raton, FL 33431
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CRD#: 1985306
KR
Professional summary
Karen S. K. Roberts, ChFC®, CLU®, who also goes by Karen S K Roberts, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Boca Raton, Florida and J.W. COLE FINANCIAL, INC. located in Boca Raton, Florida.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Karen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen S K Roberts
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) KAREN K ROBERTS; 2300 Corporate Blvd NW, Ste 111, Boca Raton, FL 33431; INSURANCE; Investment related; Agent; OFFERING DISABILITY INCOME PRODUCTS, TRADITIONAL LIFE INSURANCE, AND HEALTH SAVINGS ACCOUNTS LONG TERM CARE, MEDICARE; START DATE: 1/1/2003; 8 hours/month, 8 hours/month during trading. (2)MEMBER OF WOMEN IN INSURANCE AND FINANCIAL SERVICES; START DATE: 10/2005; HOURS PER MONTH: 10 (3) THE EMERALD FINANCIAL GROUP; DBA; 2300 Corporate Blvd NW, Ste 111, Boca Raton, FL 33431. (4) KRoberts University; not investment related; start date 8/1/2020 - owner; 2300 Corporate Blvd NW, Ste 111, Boca Raton, FL 33431; book & online course sales; 10 hours per month, 4 hours per month during trading. (5) KarenKRoberts; not investment related; start date 4/1/2023 - owner; 2300 Corporate Blvd NW, Ste 111, Boca Raton, FL 33431; consultant for estate planning services; 5 hours during trading per month (6) DPO Wealth Management DBA; Investment Related; 12500 Brantley Commons Court, Fort Myers, FL 33907; Financial Services/Planning; Financial Advisor; Start date 5/27/2025; Approximately 80 hours per month; Approximately 80 hours per month during trading hours; Karen Roberts will be in partnership with another representative of JW Cole to do financial planning, insurance and investments with clients
CRS (Client Relationship Summary) - RIA
Click below to view Karen S. K. Roberts'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®
Experience
Current
November 1, 2012 - Present
J. W. COLE ADVISORS, INC.
Office #1: 2300 Corporate Blvd Nw Suite 111, Boca Raton, FL 33431RIA
CRD#: 112294
Boca Raton, FL
Current
October 31, 2012 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 2300 Corporate Blvd Nw Suite 111, Boca Raton, FL 33431BD
CRD#: 124583
Boca Raton, FL
Past
December 6, 2004 - November 8, 2012
OSAIC FA, INC.
RIA
CRD#: 3978
DEERFIELD BEACH, FL
Past
January 2, 2003 - April 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 2, 2003 - November 8, 2012
OSAIC FA, INC.
BD
CRD#: 3978
DEERFIELD BEACH, FL
Past
January 4, 2000 - December 31, 2002
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
November 29, 1995 - February 12, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
April 5, 1990 - December 31, 1993
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
Arkansas(7/17/2024)
RR
California(10/31/2012)
RR
Connecticut(2/12/2025)
RR
Florida(10/31/2012)
IAR
Florida(11/8/2012)
RR
Georgia(11/5/2012)
RR
Illinois(8/18/2021)
RR
Kansas(4/27/2020)
RR
Maine(11/1/2012)
RR
Maryland(1/3/2022)
RR
New Mexico(10/31/2012)
RR
New York(10/31/2012)
RR
North Carolina(10/31/2012)
RR
Ohio(10/14/2022)
RR
Pennsylvania(10/31/2012)
RR
South Carolina(1/9/2014)
RR
Tennessee(10/31/2012)
RR
Texas(4/19/2021)
IAR
Texas(8/26/2025)
RR
Virginia(10/31/2012)
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Boca Raton, FL 33431TRUST BUT VERIFY
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