Jerry E. Todd

J. W. COLE ADVISORS

ALBUQUERQUE, NM 87113

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CRD#: 2913211

Professional summary

Jerry Ernest Todd JR, AIF®, who also goes by Jerry Ernest Todd Jr, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Albuquerque, New Mexico and J.W. COLE FINANCIAL, INC. located in Albuquerque, New Mexico.

Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jerry has worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jerry Ernest Todd Jr

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) A) DBA: ENGAGE RETIREMENT B) INVESTMENT RELATED C) 1720 LOUISIANA BLVD NE, SUITE # 300, ALBUQUERQUE, NM D) INSURANCE, INDEX ANNUITIES, INVESTMENTS E) POSITION: ADVISOR F) START: 08/29/2016 G) 140 HRS/MO H) 140 TRADING HRS I) INSURANCE & INVESTMENT MANAGEMENT (2) A) JET INVESTMENTS, LLC B) INVESTMENT RELATED C) 11111 JORDAN AVE NE ALBUQUERQUE, NM 87122 D) REAL ESTATE HOLDING COMPANY FOR COMMERICAL OFFICE BUILDING E) MANAGING MEMBER F) 08/01/2019 G) 2 HRS PER MONTH H) 0 DURING TRADING HRS I) HANDLING BOOKS & RECORDS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Ernest Todd JR'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 1, 2016 - Present

J. W. COLE ADVISORS, INC.

Office #1: 5501 Eagle Rock Avenue Ne Building D, Albuquerque, NM 87113

RIA

CRD#: 112294

ALBUQUERQUE, NM

Current

August 31, 2016 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

ALBUQUERQUE, NM

Past

December 19, 2013 - September 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALBUQUERQUE, NM

Past

November 8, 2013 - October 4, 2016

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 169045

ALBUQUERQUE, NM

Past

November 4, 2013 - September 8, 2016

LPL FINANCIAL LLC

CRD#: 6413

ALBUQUERQUE, NM

Past

March 28, 2013 - November 13, 2013

HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC

RIA

CRD#: 149564

ALBUQUERQUE, NM

Past

March 8, 2013 - November 6, 2013

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

ALBUQUERQUE, NM

Past

January 6, 2004 - December 3, 2013

ENGAGE RETIREMENT, LLC

RIA

CRD#: 129655

ALBUQUERQUE, NM

Past

January 27, 2003 - January 6, 2004

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

ALBUQUERQUE, NM

Past

November 13, 2002 - January 6, 2004

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

September 16, 1997 - November 11, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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
(8/31/2016)

California
(9/1/2016)

Colorado
(8/31/2016)

Delaware
(10/17/2023)

Florida
(1/2/2018)

Georgia
(9/16/2016)

Illinois
(1/3/2022)

Missouri
(9/1/2016)

Nevada
(9/1/2016)

New Jersey
(1/3/2022)

New Mexico
(8/31/2016)

IAR

New Mexico
(9/1/2016)

New York
(1/3/2022)

North Carolina
(8/31/2016)

Oklahoma
(7/30/2021)

Oregon
(8/31/2016)

Pennsylvania
(9/1/2016)

Texas
(8/31/2016)

IAR

Texas
(8/26/2025)

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

Series 63

Date: 3/14/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/9/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2013

General Securities Representative 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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Jerry E. Todd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Ernest Todd JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

LPL FINANCIAL LLC

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

LPL FINANCIAL LLC

HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC

SECURITIES SERVICE NETWORK, LLC

ENGAGE RETIREMENT, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/2013

Series 66

Date: 1/9/2003

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2013

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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