John A. Imoto
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Atsuo Imoto, who also goes by John A Imoto, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2015 - May 11, 2016
J. W. COLE ADVISORS, INC.
August 3, 2015 - May 11, 2016
J.W. COLE FINANCIAL, INC.
October 2, 2012 - August 18, 2015
AMERITAS INVESTMENT COMPANY, LLC
October 1, 2012 - August 18, 2015
AMERITAS INVESTMENT COMPANY, LLC
November 23, 2011 - October 2, 2012
SPC
November 23, 2011 - October 2, 2012
PARKLAND SECURITIES, LLC
October 20, 2009 - November 28, 2011
FINANCIAL ADVISERS OF AMERICA, LLC
October 20, 2009 - November 28, 2011
FINANCIAL ADVISERS OF AMERICA, LLC
February 22, 2007 - October 23, 2009
SECURITIES AMERICA ADVISORS, INC.
February 22, 2007 - October 23, 2009
SECURITIES AMERICA, INC.
January 4, 2006 - February 21, 2007
SUNSET FINANCIAL SERVICES, INC.
August 25, 1999 - February 21, 2007
SUNSET FINANCIAL SERVICES, INC.
January 31, 1997 - September 9, 1999
OSAIC WEALTH, INC.
February 9, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
October 20, 1980 - January 23, 1996
EQUITABLE ADVISORS, LLC
January 10, 1974 - January 23, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/4/1974
Registered Representative ExaminationCurrent Firm
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
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.
