Sean P. Ferguson

J. W. COLE ADVISORS

TAMPA, FL 33634

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CRD#: 2724656

Professional summary

Sean Patrick Ferguson 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.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Rental Property, Not Investment Related, 5350 Anhinga Trail New Port Richey, FL 34653. Owner, 11/2016, 0 hours devoted per month, 0 hours devoted per month during securities trading, owner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Ferguson'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

January 2, 2020 - Present

J. W. COLE ADVISORS, INC.

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

RIA

CRD#: 112294

TAMPA, FL

Current

December 24, 2019 - Present

J.W. COLE FINANCIAL, INC.

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

CRD#: 124583

Tampa, FL

Past

April 27, 2018 - December 23, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

April 24, 2018 - December 23, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

Past

October 18, 2005 - March 19, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

May 4, 2005 - March 19, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

May 28, 2002 - May 3, 2005

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

March 19, 1999 - May 20, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

November 5, 1998 - January 28, 1999

NAVILLUS SECURITIES, INC.

CRD#: 31230

WEST CONSHOHOCKEN, PA

Past

January 16, 1998 - July 31, 1998

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

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

Alabama
(2/6/2025)

Arizona
(2/6/2025)

Arkansas
(12/24/2019)

Florida
(12/24/2019)

IAR

Florida
(1/2/2020)

Georgia
(12/24/2019)

Hawaii
(2/6/2025)

Louisiana
(12/24/2019)

Massachusetts
(2/3/2020)

Mississippi
(12/24/2019)

Missouri
(12/24/2019)

Pennsylvania
(2/6/2025)

South Carolina
(12/24/2019)

Texas
(12/24/2019)

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: 10/14/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/25/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/11/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/1998

General Securities 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

Sean P. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

NAVILLUS SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2005

Series 65

Date: 6/8/1998

Series 63

Date: 2/23/1998

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1998

Series 53

Date: 1/25/2011

Series 4

Date: 1/11/2000

Series 24

Date: 2/23/1998

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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