NJ
Nancy C. Jones
J. W. COLE ADVISORS
Metropolis, IL 62960
Some features on this profile are disabled
CRD#: 3160041
NJ
Professional summary
Nancy Caroline Jones, who also goes by Nancy Caroline Bormann, Nancy Caroline Bormann-jones, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Metropolis, Illinois and J.W. COLE FINANCIAL, INC. located in Metropolis, Illinois.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Nancy has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Caroline Bormann | Nancy Caroline Bormann-Jones
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) DBA: METRO FINANCIAL GROUP, LLC B) INVESTMENT RELATED C) 601 MARKET ST, METROPOLIS, IL 62960 D) LIFE/HEALTH INSURANCE E) MANAGING PARTNER F) START: 05/01/2005 G) 80 HRS/MO H) 80 TRADING HRS/MO I) SELL LIFE/HEALTH INSURANCE PRODUCTS, DAILY OPERATIONS J) OFFICER/DIRECTOR. (2) A) MASSAC COUNTY UNITED WAY B) NON-INVESTMENT RELATED D) UNITED WAY E) CO-PRESIDENT F) START: 01/01/2012 G) 3 HRS/MO H) 1 TRADING HR/MO J) OFFICER/DIRECTOR. (3) A) RIBBONS AND BEAUS, LLC B) NON-INVESTMENT RELATED C) 623 A MARKET STREET METROPOLIS, IL 62960 D) CHILDREN'S CLOTHING BOUTIQUE E) OWNER/MANAGING MEMBER F) 3/1/2019 G) 15 HRS PER MONTH H) 7 HRS DURING TRADING HRS I) ORDER MERCHANDISE, BOOKKEEPING, AND MARKETING. (4) Bormann Farms LLC; Farm Operation; Not investment related; 2965 North Ave, Metropolis, IL 62960; Manager and Registered Agent; Bookkeeping and filing requirements as needed for the LLC; Start 2/17/25; 0 hours/month during trading. (5) POA for Nancy Bormann
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Caroline Jones'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
July 11, 2023 - Present
J. W. COLE ADVISORS, INC.
Office #1: 601 Market Street, Metropolis, IL 62960RIA
CRD#: 112294
Metropolis, IL
Current
May 5, 2010 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 601 Market St., Metropolis, IL 62960BD
CRD#: 124583
Metropolis, IL
Past
February 10, 1999 - May 12, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
METROPOLIS, IL
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
Arizona(8/14/2018)
RR
Arkansas(5/30/2019)
RR
Florida(8/14/2018)
RR
Illinois(5/5/2010)
IAR
Illinois(7/11/2023)
RR
Kentucky(5/5/2010)
RR
Louisiana(9/30/2016)
RR
Mississippi(5/5/2010)
RR
Texas(8/14/2018)
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
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)
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.
