LN
Larry N. Nemoto
J. W. COLE ADVISORS
HOUSTON, TX 77070
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CRD#: 2642611
LN
Professional summary
Larry Naoki Nemoto JR, CFP®, CLU®, who also goes by Nemoto, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Houston, Texas and J.W. COLE FINANCIAL, INC. located in Houston, Texas.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Larry has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nemoto
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) LARRY NEMOTO ACCOUNTING TAXES AND INDIVIDUAL CONSULTING 20 HRS PER WEEK/40K PER YR (2) Baroo Financial; DBA; Investment Related; 10551 Mills Road, Suite E, Houston, TX 77070; Provide advisory financial services/advice to fee based clients using the fiduciary standard; Start 6/30/23; 130 hrs/mo, 130 hr/mo during trading. (3) NEMOCO, Inc.; Inactive DBA; Not Investment Related; P.O. Box 691769, Houston, TX 77269; Inactive wholesale trade; remains inactive but still has some value in its net operating loss carry forward; President; Start 12/12/1980; 0 hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Larry Naoki Nemoto JR's 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®
Start date: 1996
Experience
Current
September 5, 2003 - Present
J. W. COLE ADVISORS, INC.
Office #1: 10551 Mills Road Suite E, Houston, TX 77070RIA
CRD#: 112294
HOUSTON, TX
Current
September 5, 2003 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 10551 Mills Road Suite E, Houston, TX 77070BD
CRD#: 124583
Houston, TX
Past
August 25, 2003 - September 5, 2003
JONATHAN ROBERTS FINANCIAL GROUP, INC.
BD
CRD#: 46285
TAMPA, FL
Past
June 1, 2001 - August 13, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
September 8, 1995 - June 18, 2001
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
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
Alabama(3/24/2020)
RR
Arizona(12/21/2021)
RR
Colorado(1/16/2019)
RR
Minnesota(11/7/2014)
RR
Texas(9/5/2003)
IAR
Texas(9/5/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
