SM
Santo Montalbano
J. W. COLE ADVISORS
Tampa, FL 33634
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CRD#: 3000998
SM
Professional summary
Santo Montalbano, who also goes by Santo Montalbano, 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.
Santo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Santo has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Santo Montalbano
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) Fixed insurance; not investment related; agent - start date 11/16/2020: 4834 Tea Rose Court, Lutz, FL 33558; sales & service of fixed insurance products; 3 hours per month, 3 hours during trading. (2) JWC Wealth Management; DBA; Investment Related; 4301 Anchor Plaza Pkwy, 4th Floor, Tampa, FL 33634; Wealth Management; Managing Partner; I run the wealth management firm, handle about 125 clients personally and manage the advisors and staff; Start date 1/2/24;40 hours/week, 40 hours/week during trading. (3) Acuity Financial; DBA; Wealth Management; Investment Related; 320 N. 3rd St, 6th Floor, Burlington, IA 52601; Managing Partner; Start 11/15/2024; 4 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Santo Montalbano'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®
NoneExperience
Current
July 29, 2020 - Present
J. W. COLE ADVISORS, INC.
Office #1: 4301 Anchor Plaza Parkway 4th Floor, Tampa, FL, 33634Office #2: 2415 W. Grandview Blvd, Erie, PA 16506RIA
CRD#: 112294
Tampa, FL
Current
July 7, 2020 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634Office #2: 2415 W. Grandview Blvd, Erie, PA 16506BD
CRD#: 124583
Tampa, FL
Past
May 13, 2016 - July 27, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
TAMPA, FL
Past
March 14, 2016 - July 27, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
TAMPA, FL
Past
January 8, 2015 - March 1, 2016
FS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 145244
PHILADELPHIA, PA
Past
May 13, 2014 - December 18, 2014
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
January 20, 2009 - April 23, 2014
HINES PRIVATE WEALTH SOLUTIONS LLC
BD
CRD#: 128145
HOUSTON, TX
Past
July 6, 2004 - December 31, 2008
AMERICAN CENTURY ADVISORY SERVICES, INC.
RIA
CRD#: 121974
KANSAS CITY, MO
Past
May 7, 2004 - December 31, 2008
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
November 7, 2003 - May 5, 2004
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
UNIONDALE, NY
Past
February 10, 1998 - May 5, 2004
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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".
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(3/23/2022)
RR
Arkansas(8/15/2023)
RR
California(1/5/2021)
RR
Connecticut(11/9/2022)
RR
Delaware(11/9/2022)
RR
Florida(7/7/2020)
IAR
Florida(7/29/2020)
RR
Georgia(3/23/2022)
RR
Illinois(3/23/2022)
RR
Indiana(3/23/2022)
RR
Kansas(3/23/2022)
RR
Maine(7/7/2020)
RR
Maryland(7/7/2020)
RR
Massachusetts(7/7/2020)
RR
Michigan(3/23/2022)
RR
Mississippi(1/22/2024)
RR
Nebraska(3/23/2022)
RR
New Hampshire(1/22/2024)
RR
New Jersey(7/7/2020)
RR
New Mexico(8/15/2023)
RR
New York(7/7/2020)
RR
North Carolina(3/23/2022)
RR
Ohio(7/7/2020)
RR
Oklahoma(1/5/2021)
RR
Oregon(1/22/2024)
RR
Pennsylvania(7/7/2020)
RR
South Carolina(3/23/2022)
RR
Tennessee(3/28/2024)
RR
Texas(1/5/2021)
IAR
Texas(8/26/2025)
RR
Utah(7/7/2020)
RR
Virginia(7/7/2020)
RR
Washington(4/26/2021)
RR
West Virginia(1/22/2024)
RR
Wisconsin(2/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Tampa, FL 33634TRUST BUT VERIFY
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