KA
Kathleen M. Alber
J. W. COLE ADVISORS
Omaha, NE 68130
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CRD#: 3028419
KA
Professional summary
Kathleen Marie Alber, who also goes by Kathleen Marie Wellendorf, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Omaha, Nebraska.
Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kathleen has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Marie Wellendorf
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) Castlerock Financial Management Group - DBA; 18035 Oak Street, Omaha, NE 68130; IAR; Investment Mgmnt & Financial Planning; Start 1/2022; 40 hrs./mo., 40 hr./mo. during trading. (2) View on Oak Investments; Investment Related; 18035 Oak Street, Omaha, NE 68130; Shareholder/Officer; Investment Mgmt. & Financial Planning; Start 1/1/2022; 40 hrs./mo. during trading. (3) DSG Advisors; Not investment related; 18035 Oak Street, Omaha, NE 68130; Tax preparation, book keeping, and payroll services; Shareholder; Start 10/1/2025; 120 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Marie Alber'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 11, 2022 - Present
J. W. COLE ADVISORS, INC.
Office #1: 18035 Oak Street, Omaha, NE 68130RIA
CRD#: 112294
Omaha, NE
Past
April 16, 1998 - October 10, 2001
J.P. SECURITIES, INC.
BD
CRD#: 36559
BELLEVUE, NE
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.Highlighted states indicate IAR registrations
IAR
Nebraska(5/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
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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Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Omaha, NE 68130TRUST BUT VERIFY
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