TH
Thomas J. Hayes
J. W. COLE ADVISORS
THE WOODLANDS, TX 77380
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CRD#: 3092791
TH
Professional summary
Thomas James Hayes is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in The Woodlands, Texas and J.W. COLE FINANCIAL, INC. located in The Woodlands, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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) A) T J HAYES & CO, PLLC B) INVESTMENT RELATED C) 25511 BUDDE ROAD, SUITE 3303, THE WOODLANDS, TX 77380 D) CPA E) PRESIDENT/OWNER F) 1992 G) 170 HRS/MONTH H) 170 DURING TRADING I) TAX AND ACCOUNTING ADVICE, MANAGE CLIENT RELATIONSHIPS J) OFFICER K) CLIENTS INVOLVED L) $600,000/YEAR. (2) A) HOUSTON ADVANTAGE B) INVESTMENT RELATED D) FIXED INSURANCE E) AGENT F) 2000 G) 10 HRS/MONTH H) 10 DURING TRADING I) SALES AND SERVICE J) NOT AN OFFICER K) NO CLIENTS INVOLVED. (3) A) ZONE 7 FINANCIAL SERVICES, LLC B) INVESTMENT RELATED C) 25511 BUDDE ROAD, SUITE 3303, THE WOODLANDS, TX 77380 D) DBA FOR SECURITIES AND ADVISORY BUSINESS E) PRESIDENT F) 11/2/1999 G) 90 HRS PER MONTH H) 90 DURING TRADING HRS. (4) Hayes Family Realty LLC; Rental of commercial building; Not investment related;3506 Kentwood Dr, Spring, TX 77380; Owner. The commercial building will be owned by myself and will be rented to my CPA Firm and Zones; Start 1/1/2025; 10 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Hayes'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
April 19, 2005 - Present
J. W. COLE ADVISORS, INC.
Office #1: 25511 Budde Road Suite 2301, The Woodlands, TX 77380RIA
CRD#: 112294
THE WOODLANDS, TX
Current
September 5, 2003 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 25511 Budde Road Suite 3303, The Woodlands, TX 77380BD
CRD#: 124583
The Woodlands, TX
Past
September 13, 2001 - September 28, 2005
ZONE 7 FINANCIAL SERVICES, LLC
RIA
CRD#: 114321
HOUSTON, TX
Past
September 13, 2001 - September 5, 2003
JONATHAN ROBERTS FINANCIAL GROUP, INC.
BD
CRD#: 46285
TAMPA, FL
Past
September 24, 1998 - September 13, 2001
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
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(1/26/2021)
RR
California(8/12/2009)
RR
Colorado(1/3/2007)
RR
Florida(1/3/2007)
RR
Kansas(2/5/2020)
RR
Louisiana(8/7/2014)
RR
Mississippi(8/23/2006)
RR
Missouri(1/5/2017)
RR
South Carolina(1/3/2023)
RR
Texas(9/5/2003)
IAR
Texas(4/19/2005)
RR
Washington(9/27/2024)
Exams
State Security Law Exam
State Security Law 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294The Woodlands, TX 77380TRUST BUT VERIFY
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