Laura E. Clark-brown

J. W. COLE ADVISORS

Clarkston, MI 48346

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CRD#: 3126637

Professional summary

Laura Ellen Clark-brown, who also goes by Laura Clark, Laura Ellen Clark-brown, Laura Ellen Richards, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Clarkston, Michigan and J.W. COLE FINANCIAL, INC. located in Clarkston, Michigan.

Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Laura 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

Laura Clark | Laura Ellen Clark-Brown | Laura Ellen Richards

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) Successful Equity Management, Inc; DBA; Investment Related; 5840 Lorac Drive, Unit 8, Clarkston, MI 48346; President; Financial Planning; Started 2000; 160 hrs/mo, 140 hrs/mo during trading. 2 ) Fixed Insurance; Investment related; 5840 Lorac Drive, Unit 8, Clarkston, MI 48346; Life Insurance and annuities; Financial Planner; will use fixed insurance if best interest & suitable for client; Started 2000; 2 hrs/mo, 2 hrs/mo during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Ellen Clark-brown'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 3, 2021 - Present

J. W. COLE ADVISORS, INC.

Office #1: 5840 Lorac Drive Unit 8, Clarkston, MI 48346

RIA

CRD#: 112294

Clarkston, MI

Current

December 3, 2021 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 5840 Lorac Drive Unite 8, Clarkston, MI 48346

CRD#: 124583

Clarkston, MI

Past

July 26, 2018 - December 9, 2021

TRIAD ADVISORS LLC

CRD#: 25803

Clarkston, MI

Past

July 25, 2018 - December 3, 2021

CONTINUUM ADVISORY, LLC

RIA

CRD#: 283155

Clarkston, MI

Past

May 13, 2016 - July 30, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

CLARKSTON, MI

Past

May 13, 2016 - July 30, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

CLARKSTON, MI

Past

January 13, 2011 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CLARKSTON, MI

Past

October 22, 2004 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CLARKSTON, MI

Past

October 27, 2000 - October 25, 2004

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

June 28, 1999 - November 6, 2000

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

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
(12/3/2021)

Michigan
(12/3/2021)

IAR

Michigan
(12/3/2021)

North Carolina
(12/14/2021)

South Dakota
(12/3/2021)

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: 11/29/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1999

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: 5/14/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1999

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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Laura E. Clark-brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Ellen Clark-brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

TRIAD ADVISORS LLC

CONTINUUM ADVISORY, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

SUMMIT BROKERAGE SERVICES, INC.

CENTAURUS FINANCIAL, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2010

Series 63

Date: 9/10/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2013

Series 6

Date: 6/25/1999

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

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