William J. Small

J. W. COLE ADVISORS

Kure Beach, NC

Some features on this profile are disabled

CRD#: 2649975

Professional summary

William Joel Small, who also goes by Bill Small, William J Small, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Kure Beach, North Carolina and J.W. COLE FINANCIAL, INC. located in Delray Beach, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. William has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Small | William J Small

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) Holistic Wealth Planning; DBA; 2005 Surfrider Ct, Unit 2005, Kure Beach, NC 28449; Investment Related; Owner; Securities and Insurance Sales; Start 2007; 50 hr/mo, 20 hr/mo during trading. (2) Ebay Baseball Cards Sales; Not investment related. 2005 Surfrider Ct, Unit 2005, Kure Beach, NC 28449; Owner of cards; Start 11/26/2024; 0 hours during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joel Small'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

March 22, 2023 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Kure Beach, NC

Current

March 6, 2023 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Delray Beach, FL

Past

July 17, 2020 - March 7, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DELRAY BEACH, FL

Past

July 17, 2020 - March 7, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

DELRAY BEACH, FL

Past

April 22, 2014 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

PALM BEACH, FL

Past

April 22, 2014 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

PALM BEACH, FL

Past

April 5, 2010 - April 16, 2014

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

HAZELTON, PA

Past

April 1, 2010 - April 16, 2014

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

HAZELTON, PA

Past

May 1, 2006 - April 7, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST HAZLETON, PA

Past

April 18, 2006 - April 7, 2010

LPL FINANCIAL LLC

CRD#: 6413

WEST HAZLETON, PA

Past

January 28, 2005 - April 26, 2006

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

RADNOR, PA

Past

January 28, 2005 - April 26, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

RADNOR, PA

Past

July 13, 2004 - January 28, 2005

M&T SECURITIES, INC.

RIA

CRD#: 17358

CHEEKTOWAGA, NY

Past

October 31, 2003 - January 28, 2005

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

September 9, 2002 - October 31, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

BETHLEHEM, PA

Past

April 25, 2001 - October 31, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

December 21, 1999 - April 25, 2001

SUMMIT FINANCIAL SERVICES GROUP, INC.

CRD#: 7246

BETHLEHEM, PA

Past

July 8, 1998 - December 20, 1999

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

October 20, 1995 - July 7, 1998

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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
(8/21/2023)

Florida
(3/6/2023)

IAR

Florida
(3/22/2023)

New Jersey
(8/21/2023)

New York
(4/27/2025)

North Carolina
(8/21/2023)

IAR

North Carolina
(11/12/2025)

Pennsylvania
(3/6/2023)

South Carolina
(8/21/2023)

South Dakota
(6/13/2023)

Tennessee
(7/19/2024)

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: 7/2/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1995

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: 1/29/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/27/2004

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Small

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joel Small's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

SUMMIT FINANCIAL SERVICES GROUP, INC.

T.H.E. FINANCIAL GROUP, LTD

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/2002

Series 63

Date: 10/19/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2002

Series 6

Date: 10/19/1995

Series 24

Date: 6/1/2006

Series 26

Date: 12/27/2004

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

Similar Advisors