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BS

Bruce L. Stephens

J.W. COLE FINANCIAL
St. Charles, MO 63301
Some features on this profile are disabled
CRD#: 1993205
BS

Professional summary

Bruce Lee Stephens is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in St. Charles, Missouri.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1989. Bruce has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Bruce Lee Stephens'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

February 13, 2012 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 1000 Fairgrounds Suite 202, St. Charles, MO 63301
BD
CRD#: 124583
St. Charles, MO
Past

January 24, 2002 - February 14, 2012

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
FERGUSON, MO
Past

June 17, 1997 - February 6, 2002

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

October 9, 1993 - June 12, 1997

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

October 5, 1989 - June 11, 1992

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(1/12/2015)
RR
Arkansas
(9/6/2018)
RR
California
(2/13/2012)
RR
Florida
(2/13/2012)
RR
Illinois
(2/13/2012)
RR
Kansas
(1/3/2022)
RR
Kentucky
(8/1/2012)
RR
Missouri
(2/13/2012)
RR
Texas
(8/20/2025)
RR
Virginia
(3/22/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/1989
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

J.W. COLE FINANCIAL, INC.

CRD#: 124583St. Charles, MO 63301

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