DE
David R. Ettingoff
J. W. COLE ADVISORS
Wayne, PA
Some features on this profile are disabled
CRD#: 3134654
DE
Professional summary
David Ross Ettingoff, who also goes by David R Ettingoff, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Wayne, Pennsylvania and J.W. COLE FINANCIAL, INC. located in Wayne, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David R Ettingoff
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) PERE Analytics, LLC - Consulting with a real estate private equity firm for approximately 10 hours per week for the purpose of improving their Excel models/templates (LLC formed on April 29, 2019) 2) DBA - Ettingoff Wealth Management; investment related; 1119 King of Prussia Road Wayne PA 19087; DBA for investment, securities & fixed insurance business. 3) Trustee on Family Trust
CRS (Client Relationship Summary) - RIA
Click below to view David Ross Ettingoff'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 26, 2019 - Present
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
Wayne, PA
Current
April 26, 2019 - Present
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Wayne, PA
Past
August 8, 2014 - May 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RADNOR, PA
Past
July 17, 2014 - May 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RADNOR, PA
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
California(4/26/2019)
RR
Connecticut(4/26/2019)
RR
Delaware(10/16/2023)
RR
Florida(4/26/2019)
RR
Illinois(1/21/2022)
RR
Maine(4/26/2019)
RR
Maryland(4/26/2019)
RR
Massachusetts(1/2/2024)
RR
Michigan(4/26/2019)
RR
Nevada(2/8/2022)
RR
New Jersey(4/26/2019)
RR
New York(4/26/2019)
RR
Ohio(1/6/2021)
RR
Oregon(1/3/2022)
RR
Pennsylvania(4/26/2019)
IAR
Pennsylvania(4/26/2019)
RR
Rhode Island(1/30/2024)
RR
South Carolina(4/26/2019)
RR
Virginia(4/26/2019)
RR
Washington(4/26/2019)
Exams
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.
