Riad Shanawany

J. W. COLE ADVISORS

FT. LAUDERDALE, FL 33309

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CRD#: 3184981

Professional summary

Riad Shanawany, CFP®, who also goes by Rudy Shanawany, Rudy Shay, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Ft. Lauderdale, Florida and J.W. COLE FINANCIAL, INC. located in Coral Springs, Florida.

Riad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Riad has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rudy Shanawany | Rudy Shay

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riad Shanawany'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

August 5, 2011 - Present

J. W. COLE ADVISORS, INC.

Office #1: 6750 N. Andrews Ave Suite 200, Ft. Lauderdale, FL 33309Office #2: 13696 Highway 441 Suite 200, Lady Lake, FL 32159Office #3: 5850 Coral Ridge Unit 303, Coral Springs, FL 33076

RIA

CRD#: 112294

FT. LAUDERDALE, FL

Current

July 21, 2011 - Present

J.W. COLE FINANCIAL, INC.

Office #2: 13710 Us 441 Suite 200a, Lady Lake, FL 32159Office #3: 6750 N. Andrews Ave Suite 200, Ft. Lauderdale, FL 33309

CRD#: 124583

Coral Springs, FL

Past

October 10, 2001 - July 27, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANTATION, FL

Past

October 9, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 9, 2001 - July 27, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANTATION, FL

Past

October 4, 1999 - June 22, 2001

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 5, 1999 - September 16, 1999

BAXTER BANKS & SMITH, LTD.

CRD#: 40771

ST. PETERSBURG, FL

Past

April 5, 1999 - December 3, 1999

WINDSOR STREET CAPITAL, LP

CRD#: 34171

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

California
(8/3/2011)

Connecticut
(1/30/2014)

Florida
(8/1/2011)

IAR

Florida
(8/5/2011)

Georgia
(10/12/2011)

Illinois
(7/17/2017)

Indiana
(5/2/2013)

New York
(8/14/2013)

North Carolina
(7/16/2018)

Oregon
(8/22/2017)

Pennsylvania
(8/3/2011)

South Carolina
(1/13/2021)

IAR

Texas
(8/26/2025)

Virginia
(8/11/2011)

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

Series 63

Date: 5/7/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/3/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/1999

General Securities 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

Riad Shanawany

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riad Shanawany's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

ADVEST, INC.

BAXTER BANKS & SMITH, LTD.

WINDSOR STREET CAPITAL, LP

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/2004

Series 65

Date: 12/3/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/1/1999

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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