Dianne T. Fay

J. W. COLE ADVISORS

Scottsdale, AZ 85254

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CRD#: 2269842

Professional summary

Dianne Therese Fay, CFP®, who also goes by Dianne T Fay, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Scottsdale, Arizona and J.W. COLE FINANCIAL, INC. located in Scottsdale, Arizona.

Dianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Dianne has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dianne T Fay

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)FAY & ASSOCIATES Inc.; NOT INVESTMENT RELATED: 14648 N Scottsdale Rd, Ste 120, Scottsdale, AZ 85254; TAX & ACCOUNTING PRACTICE; PRESIDENT, Oversight of operations; Start 1/11/25; 15 hours/month during trading. (2)INSURANCE SALES; NOT INVESTMENT RELATED; 14648 N Scottsdale Rd, Ste 120, Scottsdale, AZ 85254; INSURANCE SALES; AGENT; 06/30/1992 TO PRESET; 15 HOURS PER MONTH; 10-12 HOURS PER MONTH DURING TRADING HOURS; MEET WITH CLIENTS AND ASSIST WITH PRODUCT PURHASE. (3) Residential Rental Property; investment relates; 8776 E Shea #106-151 Scottsdale AZ 85260 Rental; owner of property; Started 2021; 1-2 hours/month (1 during security trading hours): answer questions, repair set up as needed.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dianne Therese Fay'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

January 5, 2023 - Present

J. W. COLE ADVISORS, INC.

Office #1: 14648 N Scottsdale Rd Ste 175, Scottsdale, AZ 85254

RIA

CRD#: 112294

Scottsdale, AZ

Current

December 20, 2022 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Scottsdale, AZ

Past

September 9, 2009 - December 21, 2022

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

SCOTTSDALE, AZ

Past

August 11, 2009 - December 21, 2022

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

SCOTTSDALE, AZ

Past

February 15, 2007 - August 6, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SCOTTSDALE, AZ

Past

December 5, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

SCOTTSDALE, AZ

Past

December 5, 2006 - August 6, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SCOTTSDALE, AZ

Past

February 10, 2003 - December 11, 2006

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SCOTTSDALE, AZ

Past

January 28, 2003 - December 11, 2006

PARK AVENUE SECURITIES LLC

CRD#: 46173

SCOTTSDALE, AZ

Past

March 13, 2001 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

March 13, 2001 - December 18, 2002

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

January 4, 2001 - March 20, 2001

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

August 19, 1992 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 19, 1992 - January 19, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Arizona
(12/20/2022)

IAR

Arizona
(1/5/2023)

California
(5/24/2024)

Tennessee
(7/1/2025)

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: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/1992

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: 9/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1992

Investment Company Products/Variable Contracts 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

Dianne T. Fay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dianne Therese Fay's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

AMERITAS INVESTMENT COMPANY, LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 9/4/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2000

Series 6

Date: 8/17/1992

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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