Michael V. Valencia

J. W. COLE ADVISORS

BALTIMORE, MD 21234

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CRD#: 2069379

Professional summary

Michael Vincent Valencia, who also goes by Mike Valencia, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Baltimore, Maryland and J.W. COLE FINANCIAL, INC. located in Baltimore, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Valencia

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) SENIOR FINANCIAL ADVISORS LLC, 2416 E JOPPA RD, BALTIMORE, MD, 5/2002 AS FINANCIAL PROFESSIONAL UTILIZING DBA NAME. NIR - 1 HR/MO - 0/TRADING. 2) JOSEPH A STUMBROSKI & MICHAEL V VALENCIA - PARTNER INVOLVED WITH LEASING AND MAINTAINING PROPERTY. 2418 E JOPPA RD, BALTIMORE, MD, 5/2008 - NIR - 2 HR/MO - 0/TRADING. 3)2416 E JOPPA ROAD LLC, MD, 12/2007 AS PARTNER IN A PROPERTY WITH JOSEPH STUMBROSKI 50/50 THE PROPERTY. NOT INVESTMENT RELATED. DEVOTES 4 HRS/MNTH. NONE DURING TRADING. 4)INDEPENDENT INSURANCE AGENT, 2416 E JOPPA RD BALTIMORE, MD, 3/1991 FOR VARIOUS INSURANCE COMPANIES. 2 HR/WK - 0/TRADING. 5) CASA BELLA REALTY, LLC, 2416 E JOPPA RD BALTIMORE, MD 21234, 1/1/2019, BUYING AND SELLING REAL ESTATE, LLC, OWNER/PARTNER, COMMISSION, 20 HRS PER MO - 0 / TRADING HRS, READS CONTRACTS, ACCOUNTING, MANAGE OFFICE STAFF.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Vincent Valencia'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

July 11, 2017 - Present

J. W. COLE ADVISORS, INC.

Office #1: 2416 E. Joppa Road, Baltimore, MD 21234

RIA

CRD#: 112294

BALTIMORE, MD

Current

July 11, 2017 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 2416 E Joppa Rd, Baltimore, MD 21234

CRD#: 124583

Baltimore, MD

Past

March 6, 2013 - July 26, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

BALTIMORE, MD

Past

March 6, 2013 - July 26, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BALTIMORE, MD

Past

May 22, 2007 - March 6, 2013

SII INVESTMENTS, INC.

RIA

CRD#: 2225

BALTIMORE, MD

Past

May 22, 2007 - March 6, 2013

SII INVESTMENTS, INC.

CRD#: 2225

BALTIMORE, MD

Past

July 1, 2004 - December 31, 2005

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

BALTIMORE, MD

Past

July 1, 2004 - May 25, 2007

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

BALTIMORE, MD

Past

April 12, 2000 - July 13, 2004

CETERA ADVISORS LLC

RIA

CRD#: 10299

BALTIMORE, MD

Past

February 23, 1999 - July 13, 2004

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

July 9, 1991 - March 7, 1997

TLS FINANCIAL SERVICES, INC.

CRD#: 19625

TOWSON, MD

Past

October 29, 1990 - April 1, 1991

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

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

Delaware
(7/11/2017)

Florida
(7/11/2017)

Maryland
(7/11/2017)

IAR

Maryland
(7/11/2017)

North Carolina
(7/11/2017)

Pennsylvania
(3/3/2022)

South Carolina
(1/2/2020)

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

IAR

Series 65

Date: 3/14/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1990

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: 10/26/1990

General Securities 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

Michael V. Valencia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Vincent Valencia's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

TLS FINANCIAL SERVICES, INC.

J. W. GANT & ASSOCIATES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/2000

Series 63

Date: 12/7/1990

SIE

Date: 10/1/2018

Series 7

Date: 10/26/1990

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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