Andrea L. Baase

J.W. COLE FINANCIAL

Sminole, FL

CRD#: 3258372

Professional summary

Andrea Leigh Baase, who also goes by Andrea Leigh Stern, is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Sminole, Florida.

Andrea is registered as a RR (Registered Representative) and started their career in finance in 2000. Andrea has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrea Leigh Stern

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) - BD

Click below to view Andrea Leigh Baase'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 10, 2021 - Present

J.W. COLE FINANCIAL, INC.

Office #2: 4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

CRD#: 124583

Sminole, FL

Past

January 30, 2020 - October 8, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

Past

January 19, 2017 - March 21, 2019

CARILLON FUND DISTRIBUTORS, INC.

CRD#: 139749

ST. PETERSBURG, FL

Past

January 19, 2017 - October 8, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 19, 2006 - January 17, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

Past

July 7, 2005 - April 5, 2006

GWN SECURITIES INC.

CRD#: 128929

PALM BEACH GARDENS, FL

Past

November 12, 2003 - July 5, 2005

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

January 27, 2000 - November 3, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

ST. PETERSBURG, FL

Past

January 18, 2000 - November 3, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 18, 2000 - November 3, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(5/10/2021)

Kansas
(1/11/2022)

Exams

State Security Law Exam

Series 63

Date: 10/18/2004

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: 1/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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

4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634

Phone number

(813) 935-6776

Established

Florida since 10/14/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JWC WEALTH PARTNERS	OWNER
FUSSA OCASIO, FERNANDO	CFO/FINOP	2471569
LOFGREN, KURT WALKER	CHIEF COMPLIANCE OFFICER	3048472
PACK, TODD JAMES	CHIEF OPERATING OFFICER	2795590
WEST, EUGENE	DESIGNATED MUNICIPAL PRINCIPAL/ROSFP	2059974
WOOD, ROBERT JULIAN	TREASURER/SECRETARY/GP/CEO	3217809

Disclosures

Regulatory Event	1
Arbitration	1

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.

Contact information

xxxxxxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrea L. Baase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrea Leigh Baase's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

CARILLON FUND DISTRIBUTORS, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

GWN SECURITIES INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2000

Series 24

Date: 5/18/2006

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.W. COLE FINANCIAL, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors