Fernando Fussa Ocasio

J. W. COLE ADVISORS

TAMPA, FL 33634

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CRD#: 2471569

Professional summary

Fernando Fussa Ocasio, who also goes by Fernando Fussa, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Tampa, Florida and J.W. COLE FINANCIAL, INC. located in Tampa, Florida.

Fernando is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Fernando has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 79, Series 7, Series 14, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fernando Fussa

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 Fernando Fussa Ocasio'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 13, 2025 - Present

J. W. COLE ADVISORS, INC.

Office #1: 4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

RIA

CRD#: 112294

TAMPA, FL

Current

May 9, 2025 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

CRD#: 124583

TAMPA, FL

Past

April 19, 2022 - April 28, 2025

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

TAMPA, FL

Past

April 18, 2022 - April 28, 2025

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

October 12, 2020 - April 18, 2022

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

TAMPA, FL

Past

October 5, 2020 - April 18, 2022

IFP SECURITIES, LLC

CRD#: 297287

TAMPA, FL

Past

June 23, 2016 - October 4, 2020

ROBUS CAPITAL PARTNERS LLC

CRD#: 282547

San Juan, PR

Past

October 14, 2009 - September 2, 2015

TRADESTATION SECURITIES, INC.

CRD#: 39473

PLANTATION, FL

Past

July 4, 2007 - October 7, 2009

TRADEPRO SECURITIES, LLC.

CRD#: 103781

CORAL GABLES, FL

Past

December 9, 2003 - October 14, 2005

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

CRD#: 17053

SAN JUAN, PR

Past

April 20, 1995 - November 11, 2003

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

HATO REY, PR

Past

April 20, 1995 - November 11, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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
(5/9/2025)

Florida
(5/9/2025)

IAR

Florida
(5/13/2025)

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 66

Date: 9/30/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/8/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 3/11/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 3/31/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/16/2004

Financial and Operations 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

Fernando Fussa Ocasio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fernando Fussa Ocasio's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

INDEPENDENT FINANCIAL PARTNERS

IFP SECURITIES, LLC

ROBUS CAPITAL PARTNERS LLC

TRADESTATION SECURITIES, INC.

TRADEPRO SECURITIES, LLC.

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2019

Series 63

Date: 7/8/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 3/11/2016

Series 7

Date: 3/31/1995

Series 14

Date: 1/2/2023

Series 24

Date: 2/8/2008

Series 27

Date: 1/16/2004

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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