RO
Robert J. O'carroll
J. W. COLE ADVISORS
SAN MARCOS, CA 92069
Some features on this profile are disabled
CRD#: 2170060
RO
Professional summary
Robert Joseph O'carroll, who also goes by Robert Joseph Ocarroll, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in San Marcos, California and J.W. COLE FINANCIAL, INC. located in San Marcos, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Joseph Ocarroll
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) O'Carroll Financial Planning; DBA; Investment Related; 1786 Savannah Way, San Marcos, CA 92069; President; Start 6/9/2025; 40 hours during trading. (2) SAN MARCOS LUTHERAN CHURCH ENDOWMENT COMMITTEE; ADVISING CHURCH ON INVESTMENT MATTERS AS PART OF A COMMITTEE; DUTIES: COMMITTEE MEMBER; 2 HOURS PER MONTH; O HRS DURING TRADING; START DATE: 5/10/2013. (3) Family Trust; non-investment related; San Marcos, CA; Trustee; 1/18/2010. (4) O'Carroll Investment Management, Inc; 1786 Savannah Way San Marcos, CA 92069; Owner/President; Start Date 3/1/2023; Entity to receive commissions through. (5) Cancer for College; Not investment Related; 1050 University, Suite E 107 #705, San Diego, CA 92103; Treasurer; Quarterly financial statement review. Strategic Planning. Participation at fundraising events; Start 4/1/2019; 4 hours/month .
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph O'carroll'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®
NoneExperience
Current
May 10, 2013 - Present
J. W. COLE ADVISORS, INC.
Office #1: 1786 Savannah Way, San Marcos, CA 92069RIA
CRD#: 112294
SAN MARCOS, CA
Current
May 10, 2013 - Present
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
SAN MARCOS, CA
Past
June 10, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
RIA
CRD#: 142170
SAN MARCOS, CA
Past
June 9, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
SAN MARCOS, CA
Past
December 8, 2005 - May 26, 2009
NEXCORE FINANCIAL SERVICES, INCORPORATED
RIA
CRD#: 134727
SAN DIEGO, CA
Past
January 25, 2005 - January 20, 2009
ORION PORTFOLIO SOLUTIONS, LLC
RIA
CRD#: 107975
SAN DIEGO, CA
Past
October 5, 2004 - May 26, 2009
NEXCORE CAPITAL, INC.
BD
CRD#: 31893
SAN DIEGO, CA
Past
September 11, 1991 - July 18, 1997
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
Arizona(5/10/2013)
RR
California(5/10/2013)
IAR
California(5/10/2013)
RR
Florida(7/6/2022)
RR
Idaho(1/21/2025)
RR
Michigan(2/25/2021)
RR
Nevada(5/10/2013)
RR
New Hampshire(10/22/2024)
RR
New York(6/30/2023)
RR
Oregon(8/4/2015)
RR
Texas(10/27/2023)
RR
Virginia(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
