John K. Bruno

J. W. COLE ADVISORS

Cypresss, TX

CRD#: 2854977

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Professional summary

John Kenneth Bruno, who also goes by Jack K Bruno, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Cypresss, Texas and AEI SECURITIES, INC. located in St. Paul, Minnesota.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 87, Series 31, Series 7, Series 10, Series 9, Series 4, Series 53, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack K Bruno

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kenneth Bruno'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

June 16, 2026 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Cypresss, TX

Current

June 9, 2026 - Present

AEI SECURITIES, INC.

Office #1: 1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901

CRD#: 6158

ST. PAUL, MN

Current

June 16, 2026 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Cypress, TX

Past

January 6, 2025 - March 3, 2026

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

HOUSTON, TX

Past

January 6, 2025 - March 3, 2026

LEVEL FOUR FINANCIAL, LLC

CRD#: 25700

HOUSTON, TX

Past

March 23, 2011 - January 28, 2025

GFS ADVISORS LLC

RIA

CRD#: 143110

HOUSTON, TX

Past

January 21, 2011 - January 28, 2025

GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699

HOUSTON, TX

Past

February 17, 2009 - December 31, 2014

SANDERS MORRIS LLC

RIA

CRD#: 20580

HOUSTON, TX

Past

February 17, 2009 - December 31, 2014

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

August 19, 2008 - February 17, 2009

USF SERVICES, LLC

RIA

CRD#: 114894

HOUSTON, TX

Past

August 19, 2008 - February 17, 2009

USF ALTERNATIVE SERVICES, LLC

RIA

CRD#: 135613

HOUSTON, TX

Past

August 19, 2008 - February 17, 2009

USF ADVISORS, LLC

RIA

CRD#: 130569

HOUSTON, TX

Past

August 19, 2008 - February 17, 2009

USF SECURITIES, L.P.

CRD#: 37942

HOUSTON, TX

Past

January 10, 2005 - August 18, 2008

STANFORD GROUP COMPANY

RIA

CRD#: 39285

HOUSTON, TX

Past

January 10, 2005 - August 18, 2008

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

October 25, 2001 - January 3, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

May 7, 1997 - January 3, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Arizona
(6/9/2026)

California
(6/9/2026)

Colorado
(6/9/2026)

Florida
(6/10/2026)

Georgia
(6/9/2026)

Idaho
(6/12/2026)

Illinois
(6/9/2026)

Iowa
(6/9/2026)

Kansas
(6/9/2026)

Michigan
(6/9/2026)

Minnesota
(6/9/2026)

Montana
(6/12/2026)

Nebraska
(6/9/2026)

Nevada
(6/15/2026)

New Jersey
(6/9/2026)

New York
(6/15/2026)

North Dakota
(6/9/2026)

Ohio
(6/12/2026)

Oregon
(6/9/2026)

Texas
(6/9/2026)

IAR

Texas
(6/16/2026)

Utah
(6/9/2026)

Virginia
(6/9/2026)

Washington
(6/9/2026)

Wisconsin
(6/9/2026)

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: 6/2/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/6/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 2/23/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 31

Date: 12/30/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/1/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 5/3/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/17/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/17/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/15/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

John K. Bruno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kenneth Bruno's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEI SECURITIES, INC.

J.W. COLE FINANCIAL, INC.

LEVEL FOUR ADVISORY SERVICES

LEVEL FOUR FINANCIAL, LLC

GFS ADVISORS LLC

GLOBAL FINANCIAL SERVICES, L.L.C.

SANDERS MORRIS LLC

SANDERS MORRIS LLC

USF SERVICES, LLC

USF ALTERNATIVE SERVICES, LLC

USF ADVISORS, LLC

USF SECURITIES, L.P.

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2000

Series 63

Date: 7/22/1997

Series 52TO

Date: 1/6/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 2/23/2005

Series 31

Date: 12/30/2002

Series 7

Date: 5/1/1997

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 4

Date: 5/3/2006

Series 53

Date: 5/17/2005

Series 24

Date: 3/17/2005

Series 8

Date: 12/15/1998

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

Contact information

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