David P. Leathers

J. W. COLE ADVISORS

Cumming, GA 30040

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CRD#: 2253342

Professional summary

David Patrick Leathers is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Cumming, Georgia and J.W. COLE FINANCIAL, INC. located in Cumming, Georgia.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) 2ND RECONNAISSANCE BATTALION ASSOCIATION; NOT INVESTMENT RELATED: 327 DAHLONEGA ST, #1001, CUMMING, GA 30040; CHARITABLE MARINE CORP; TREASURER/BOARD MEMBER; ACCOUNTING, TAX RETURNS; START 2006; APPROX 2 HOURS/MONTH, 0 DURING TRADING. (2) CUMMING DEVELOPMENT AUTHORITY; NOT INVESTMENT RELATED; 327 DAHLOGEGA ST, #1001, CUMMING, GA 30040; CITY GOVERNMENT AUTHORITY; CHAIRMAN OF BOARD; CONDUCT BOARD MEETINGS TO HELP CITY OF CUMMING MANAGE REAL ESTATE DEVELOPMENT; START 2020; 2 HOURS/MO, 0 DURING TRADING. (3) David P. Leathers; Insurance Sales Corporation; INVESTMENT RELATED; 327 Dahlonega St, #1001, Cumming, GA 30040; President/CEO; Selling insurance and maintaining corporate records; START DATE 3/1/2003; 8 hours/month during trading. (4) Leathers Investments; DBA; Branding for Investment and insurance; Investment Related; 327 Dahlonega, Ste 1001, Cumming, GA 30040; President/CEO; Creating and maintaining marketing for investment/insurance business; Start 12/2023; 4 hours/month, 0 during trading. (5) Amazing Grace Church, Inc.; Not investment related; 327 Dahlonega Street, Suite 1001, Cumming, GA 30040; Volunteer Board Member/Treasurer; Start 9/27/2024; 0 hours during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Patrick Leathers'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

November 30, 2023 - Present

J. W. COLE ADVISORS, INC.

Office #1: 327 Dahlonega Street Unit 1802b, Cumming, GA 30040

RIA

CRD#: 112294

Cumming, GA

Current

November 27, 2023 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 327 Dahlonega Street Ste 1001, Cumming, GA 30040

RIA

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

Alabama
(11/30/2023)

Arizona
(12/6/2023)

Arkansas
(12/1/2023)

Florida
(11/28/2023)

Georgia
(11/30/2023)

IAR

Georgia
(11/30/2023)

Illinois
(1/24/2024)

Massachusetts
(11/27/2023)

Mississippi
(12/1/2023)

Missouri
(11/27/2023)

New Hampshire
(10/28/2025)

New York
(12/14/2023)

North Carolina
(12/1/2023)

Oregon
(11/28/2023)

Pennsylvania
(11/28/2023)

South Carolina
(11/30/2023)

Tennessee
(11/27/2023)

Texas
(11/27/2023)

Washington
(11/30/2023)

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: 12/6/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1992

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: 7/16/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 4/19/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/1994

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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Advisor Monitoring

Firm Stability Insights

David P. Leathers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Patrick Leathers's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

OSAIC FS, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

RAYMOND JAMES & ASSOCIATES, INC.

ROBERT THOMAS SECURITIES, INC

GREAT AMERICAN FINANCIAL NETWORK, INC.

SCHNEIDER SECURITIES, INC.

LEHMAN BROTHERS INC.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1994

Series 63

Date: 7/30/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1992

Series 27

Date: 4/19/1994

Series 24

Date: 1/11/1994

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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