WB
William J. Brooke
J. W. COLE ADVISORS
St Petersburg, FL 33707
Some features on this profile are disabled
CRD#: 3270475
WB
Professional summary
William J Brooke JR, who also goes by William James Brooke Jr, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in St Petersburg, Florida and J.W. COLE FINANCIAL, INC. located in St Petersburg, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William James Brooke Jr
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) BROOKE FINANCIAL LLC; 7113 1st Ave S, St Petersburg, FL 33707; INVESTMENT RELATED; START DATE 5/2009; TAX PREPARATION; TITLE/POSITION: OWNER; 40 HRS PER MONTH, 2 HRS DURING TRADING; OFFICER/DIRECTOR; CLIENTS INVOLVED:Y 2) WILLIAM J. BROOKE JR; 7113 1st Ave S, St Petersburg, FL 33707; FIXED INSURANCE BUSINESS-ANNUITIES,ETC; TITLE/POSITION: OWNER/SELF; START DATE: 5/20/09; 8 HRS PER MONTH; 8 HRS DURING TRADING; DUTIES: SELLING/SERVICING; OFFICER/DIRECTOR: Y; CLIENTS INVOLVED: Y 3) BRIDGESPAN; 7113 1st Ave S, St Petersburg, FL 33707; OWNER OF LLC; DBA NAME FOR INVESTMENT SALES TO STATE EMPLOYEES; INV-RELATED; START 5/2009; 40 HRS PER MON, 2 HRS DURING TRADING; DUTIES: TAX PREP; OFFICER/ DIRECTOR: YES; CLIENTS INVOLVED: NO 4) Bridgespan Farms, Inc.; not investment related; President - start date 1/1/2021; 2134 Alt 19 Ste B Palm Harbor FL 34683 and 7113 1st Ave. S., St. Petersburg, FL 33707; rural land management; 1 hour per month, 0 hours during trading.
CRS (Client Relationship Summary) - RIA
Click below to view William J Brooke JR'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
March 2, 2016 - Present
J. W. COLE ADVISORS, INC.
Office #1: 7113 1st Ave S, St Petersburg, FL 33707RIA
CRD#: 112294
St Petersburg, FL
Current
February 26, 2016 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 7113 1st Ave S, St Petersburg, FL 33707BD
CRD#: 124583
St Petersburg, FL
Past
August 3, 2010 - March 5, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ST. PETERSBURG, FL
Past
November 2, 2009 - March 5, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ST. PETERSBURG, FL
Past
June 1, 2004 - October 19, 2009
QA3 FINANCIAL LLC
RIA
CRD#: 104957
ST PETERSBURG, FL
Past
May 21, 2004 - October 19, 2009
QA3 FINANCIAL CORP.
BD
CRD#: 14754
ST PETERSBURG, FL
Past
June 13, 2003 - May 17, 2004
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ST. PETERSBURG, FL
Past
December 2, 2002 - May 17, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 13, 1999 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, 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".
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(1/27/2020)
RR
Colorado(7/2/2019)
RR
Connecticut(2/26/2016)
RR
Delaware(8/8/2023)
RR
District of Columbia(2/26/2016)
RR
Florida(2/26/2016)
IAR
Florida(3/10/2016)
RR
Georgia(2/26/2016)
RR
Illinois(4/26/2023)
RR
Indiana(8/24/2023)
RR
Kentucky(8/24/2023)
RR
Minnesota(8/27/2019)
RR
Missouri(10/4/2018)
RR
Montana(10/27/2017)
RR
Nevada(2/26/2016)
RR
New Jersey(2/26/2016)
RR
New York(2/26/2016)
RR
North Carolina(2/26/2016)
RR
Pennsylvania(2/26/2016)
RR
Rhode Island(5/19/2022)
RR
South Carolina(2/26/2016)
RR
Tennessee(2/26/2016)
RR
Texas(2/26/2016)
IAR
Texas(10/21/2025)
RR
Virginia(11/17/2021)
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
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.
