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DF

Dianne T. Fay

J. W. COLE ADVISORS
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 2269842
DF
Dianne Therese FayJ. W. COLE ADVISORS

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.

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.
The advisor shows no other business activity.

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 120, Scottsdale, AZ 85254
RIA
CRD#: 112294
Scottsdale, AZ
Current

December 20, 2022 - Present

J.W. COLE FINANCIAL, INC.

BD
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

BD
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

BD
CRD#: 4095
SCOTTSDALE, AZ
Past

December 5, 2006 - August 6, 2009

MSI FINANCIAL SERVICES, INC.

BD
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

BD
CRD#: 46173
SCOTTSDALE, AZ
Past

March 13, 2001 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

March 13, 2001 - December 18, 2002

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

January 4, 2001 - March 20, 2001

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

August 19, 1992 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

August 19, 1992 - January 19, 2001

SIGNATOR INVESTORS, INC.

BD
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".
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
(12/20/2022)
IAR
Arizona
(1/5/2023)
RR
California
(5/24/2024)
RR
Tennessee
(7/1/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/1992
Investment Company Products/Variable Contracts Representative Examination
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)
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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 Accounts29,614
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.

Company Information

J. W. COLE ADVISORS, INC.

CRD#: 112294Scottsdale, AZ 85254

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