Charles R. Henderson

J. W. COLE ADVISORS

St. Charles, MO 63301

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CRD#: 2511191

Professional summary

Charles Raymond Henderson III, who also goes by Charles Raymond Henderson, Chuck Henderson, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in St. Charles, Missouri and J.W. COLE FINANCIAL, INC. located in St. Charles, Missouri.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Raymond Henderson | Chuck Henderson

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) CHUCK HENDERSON B) INVESTMENT RELATED C) 223 N MAIN ST SUITE 9 ST CHARLES, MO 63301 D) FIXED INSURANCE E) AGENT F) NOVEMBER 2009 G) 40HRS/MONTH H) 40 HRS DURING TRADING I) SALES AND SERVICE J) NOT AN OFFICER K) NO CLIENTS INVOLVED L) $150,000/YEAR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Raymond Henderson III'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 10, 2009 - Present

J. W. COLE ADVISORS, INC.

Office #1: 223 N. Main Street Suite 9, St. Charles, MO 63301Office #2: 7733 Forsyth Boulevard Suite 2100, Clayton, MO 63105

RIA

CRD#: 112294

St. Charles, MO

Current

November 5, 2009 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 223 N. Main Street Suite 9, St. Charles, MO 63301

CRD#: 124583

St. Charles, MO

Past

August 16, 2006 - November 17, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

CHESTERFIELD, MO

Past

June 12, 2006 - August 29, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

PHILADELPHIA, PA

Past

December 11, 2002 - November 17, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

October 1, 2001 - November 18, 2002

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST LOUIS, MO

Past

December 1, 1998 - December 5, 2002

RF ADVISORS LLC

RIA

CRD#: 110008

ST. LOUIS, MO

Past

May 26, 1998 - December 5, 2002

RENAISSANCE FINANCIAL CORPORATE EDUCATION LLC

RIA

CRD#: 110009

ST. LOUIS, MO

Past

October 26, 1994 - November 18, 2002

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

July 8, 1994 - October 25, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 8, 1994 - October 25, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Alaska
(4/5/2017)

Colorado
(1/8/2010)

Florida
(11/5/2009)

Georgia
(11/5/2009)

Illinois
(11/5/2009)

Indiana
(11/5/2009)

Iowa
(7/2/2015)

Kansas
(11/5/2009)

Missouri
(11/10/2009)

IAR

Missouri
(11/10/2009)

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: 2/27/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1994

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: 6/18/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/19/2004

Investment Company Products/Variable Contracts 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

Charles R. Henderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Raymond Henderson III's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

RF ADVISORS LLC

RENAISSANCE FINANCIAL CORPORATE EDUCATION LLC

SECURIAN FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2006

Series 63

Date: 7/8/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1998

Series 6

Date: 7/5/1994

Series 26

Date: 1/19/2004

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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