Marwan 'mark' Y. Yacoub

J. W. COLE ADVISORS

CARLSBAD, CA 92009

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CRD#: 2187271

Professional summary

Marwan 'mark' Yacoub Yacoub, who also goes by Marwan Yacoub Yacoub, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Carlsbad, California and J.W. COLE FINANCIAL, INC. located in Carlsbad, California.

Marwan 'mark' is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Marwan 'mark' has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marwan Yacoub Yacoub

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) A) FIXED INSURANCE - MEDICARE, HEALTH CARE, LONG TERM CARE, SUPPLEMENTAL INSURANCE B) AGENT WITH VARIOUS INSURANCE CARRIERS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marwan 'mark' Yacoub Yacoub'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

May 10, 2013 - Present

J. W. COLE ADVISORS, INC.

Office #1: 3101 Madera Court, Carlsbad, CA 92009

RIA

CRD#: 112294

CARLSBAD, CA

Current

May 10, 2013 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Carlsbad, CA

Past

October 26, 2007 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

CARLSBAD, CA

Past

October 26, 2007 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

CARLSBAD, CA

Past

August 28, 2003 - October 29, 2007

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

SAN DIEGO, CA

Past

August 28, 2003 - October 29, 2007

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

April 26, 1999 - September 2, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

SAN DIEGO, CA

Past

July 28, 1998 - September 2, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

December 13, 1996 - August 25, 1998

SPECTRUM SECURITIES, INC.

CRD#: 29305

AROURA HILLS, CA

Past

January 16, 1992 - December 12, 1996

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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

California
(5/10/2013)

IAR

California
(5/10/2013)

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: 4/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/1992

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: 1/14/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/24/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/1995

General Securities Principal 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

Marwan 'mark' Y. Yacoub

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marwan 'mark' Yacoub Yacoub's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

SPECTRUM SECURITIES, INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/1999

Series 63

Date: 1/23/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/14/1992

Series 4

Date: 2/24/1998

Series 24

Date: 12/22/1995

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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