CW
Curtis A. Wharton
J. W. COLE ADVISORS
Marion, IL 62959
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CRD#: 3014021
CW
Professional summary
Curtis Allen Wharton is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Marion, Illinois and J.W. COLE FINANCIAL, INC. located in Marion, Illinois.
Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Curtis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
(1) PROPERTY/CASUALTY INSURANCE PRODUCER (NON SECURITIES RELATED)AT TAYLOR DODD AND WOOD INSURANCE-COMMISSION BASE PAY AS AN INDEPENDENT CONTRACTOR "1099". SINCE 3/2014. 20 HRS PER WEEK ON ALL BUSINESS ACTIVITY. (2) MIDLAND NAT'L LIFE. SIOUX FALLS, SD. INS PROD SALES. INV-REL. AGENT. SINCE 10/04. 1 HR/MTH, ALL DURING TRADE HRS. (3) WHARTON ENTERPRISES, LTD; ENTITY ESTABLISHED FOR TAX PURPOSES. (4) D.O.T. Outdoor, LLC; Non-investment related; 4400 Pintail Ln, Creal Springs, IL 62922; Billboard lease/advertising; Consultant; Start 4/11/2022; 0 hour/month. (5) Wharton Enterprises, Ltd (my S-Corp); DBA; Investment Related; 106 S Vicksburg St, Marion, IL 62959; Financial Advisor/Representative; Financial Advisor services, Investment management; Start 6/1/2023; 160 hrs/mo durng trading.
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Allen Wharton'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
May 6, 2010 - Present
J. W. COLE ADVISORS, INC.
Office #1: 106 S Vicksburg Street, Marion, IL 62959RIA
CRD#: 112294
Marion, IL
Current
May 5, 2010 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 106 S Vicksburg St, Marion, IL 62959BD
CRD#: 124583
Marion, IL
Past
June 27, 2003 - May 12, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
HERRIN, IL
Past
April 24, 2000 - May 12, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
HERRIN, IL
Past
March 20, 1998 - May 2, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 20, 1998 - May 2, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Illinois(5/5/2010)
IAR
Illinois(5/6/2010)
RR
Kentucky(12/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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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