Mark R. Pinardi

J. W. COLE ADVISORS

Clearwater, FL

Some features on this profile are disabled

CRD#: 3041116

Professional summary

Mark Raymond Pinardi, who also goes by Mark R Pinardi, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Clearwater, Florida and J.W. COLE FINANCIAL, INC. located in Clearwater, Florida.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark R Pinardi

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) Vanhorenbeck Financial Group; DBA; Investment related; 3001 Countryside Blvd, Clearwater, FL 33761; DBA for securities and insurance; Financial Professional; Start 11/21/2022; 80 hrs/mo, 48 hrs/mo during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Raymond Pinardi'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

December 13, 2022 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Clearwater, FL

Current

November 21, 2022 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 3001 Countryside Boulevard, Clearwater, FL 33761

CRD#: 124583

Clearwater, FL

Past

March 13, 2009 - November 22, 2022

OSAIC FA, INC.

RIA

CRD#: 3978

LONGBOAT KEY, FL

Past

February 27, 2009 - November 22, 2022

OSAIC FA, INC.

CRD#: 3978

LONGBOAT KEY, FL

Past

November 1, 2005 - May 29, 2009

OSAIC FS, INC.

RIA

CRD#: 3870

JAMAICA PLAIN, MA

Past

November 1, 2005 - May 29, 2009

OSAIC FS, INC.

CRD#: 3870

JAMAICA PLAIN, MA

Past

December 6, 2004 - November 3, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 17, 2004 - November 1, 2004

WINSLOW, EVANS & CROCKER, INC.

CRD#: 29686

BOSTON, MA

Past

June 7, 2001 - March 12, 2004

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

June 16, 1998 - June 1, 2001

NYLIFE SECURITIES LLC

CRD#: 5167

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

Florida
(11/21/2022)

IAR

Florida
(12/13/2022)

Massachusetts
(11/21/2022)

New Hampshire
(11/21/2022)

New York
(1/6/2023)

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: 10/6/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/1998

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark R. Pinardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Raymond Pinardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

OSAIC FA, INC.

OSAIC FA, INC.

OSAIC FS, INC.

OSAIC FS, INC.

NEW ENGLAND SECURITIES

WINSLOW, EVANS & CROCKER, INC.

1717 CAPITAL MANAGEMENT COMPANY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2003

Series 63

Date: 6/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/7/2003

Series 6

Date: 6/15/1998

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

Similar Advisors