Dorothea S. Cole

J. W. COLE ADVISORS

Trinity, FL 34655

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CRD#: 3208277

Professional summary

Dorothea Sue Cole, who also goes by Dottie Cole, Dorothea Sue Cooper, Dorothea Sue Craig, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Trinity, Florida and J.W. COLE FINANCIAL, INC. located in Trinity, Florida.

Dorothea is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Dorothea has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dottie Cole | Dorothea Sue Cooper | Dorothea Sue Craig

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) Compass Consulting & Financial; DBA; Investment Related; 8147 Copernicus Way, Suite 103, Trinity FL 34655; Financial Planning; Independent Insurance Agent; Managing Partner; Owner - I will be paid (through broker dealer) by fees and commissions; Start 7/1/2024; <160 hours/month, <160 hours/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dorothea Sue Cole'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

May 8, 2019 - Present

J. W. COLE ADVISORS, INC.

Office #1: 8147 Copernicus Way Suite 103, Trinity, FL 34655

RIA

CRD#: 112294

Trinity, FL

Current

February 6, 2019 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 8147 Copernicus Way Suite 103, Trinity, FL 34655

CRD#: 16999

CHICAGO, IL

Past

April 10, 2001 - July 10, 2001

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, 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".

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

Alabama
(1/3/2020)

California
(1/17/2025)

Connecticut
(1/3/2020)

Florida
(2/6/2019)

IAR

Florida
(5/8/2019)

Georgia
(8/6/2020)

Illinois
(2/26/2020)

Indiana
(2/6/2019)

Massachusetts
(2/19/2020)

Michigan
(3/19/2020)

Nevada
(1/21/2025)

New Jersey
(1/8/2020)

New York
(1/13/2020)

North Carolina
(1/6/2021)

Ohio
(1/3/2020)

Pennsylvania
(1/3/2020)

South Carolina
(1/21/2020)

Texas
(9/1/2021)

IAR

Texas
(8/26/2025)

Vermont
(1/6/2021)

Virginia
(1/3/2020)

Washington
(1/29/2020)

West Virginia
(1/8/2020)

Wisconsin
(1/21/2020)

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 66

Date: 8/10/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/2001

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

Dorothea S. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dorothea Sue Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

BLUE VASE SECURITIES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2001

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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