Glenn L. Ray

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CRD#: 2030230

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.

Glenn Lawrence Ray, CFP® was a registered financial professional .

Glenn is a previously registered financial professional and started their career in finance in 1990. Glenn had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 6, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Past

June 10, 2009 - August 24, 2021

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Aurora, CO

Past

June 10, 2009 - August 24, 2021

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Aurora, CO

Past

March 15, 2007 - June 11, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

CENTENNIAL, CO

Past

July 15, 2005 - June 10, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

CENTENNIAL, CO

Past

February 15, 1995 - March 25, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 13, 1991 - January 31, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 16, 1990 - April 5, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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 66

Date: 1/29/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/23/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/16/2008

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 9/25/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Advisor Monitoring

Firm Stability Insights

Glenn L. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2007

Series 63

Date: 2/23/1990

SIE

Date: 10/1/2018

Series 6

Date: 12/16/2008

Series 7

Date: 2/10/1990

Series 8

Date: 9/25/1996

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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