William J. Brooke

J. W. COLE ADVISORS

St Petersburg, FL 33707

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CRD#: 3270475

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William J Brooke JR'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

March 2, 2016 - Present

J. W. COLE ADVISORS, INC.

Office #1: 7113 1st Ave S, St Petersburg, FL 33707

RIA

CRD#: 112294

St Petersburg, FL

Current

February 26, 2016 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 7113 1st Ave S, St Petersburg, FL 33707

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

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.

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.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 13, 1999 - December 2, 2002

PRIME CAPITAL SERVICES, INC.

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".

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
(1/27/2020)

Colorado
(7/2/2019)

Connecticut
(2/26/2016)

Delaware
(8/8/2023)

District of Columbia
(2/26/2016)

Florida
(2/26/2016)

IAR

Florida
(3/10/2016)

Georgia
(2/26/2016)

Illinois
(4/26/2023)

Indiana
(8/24/2023)

Kentucky
(8/24/2023)

Minnesota
(8/27/2019)

Missouri
(10/4/2018)

Montana
(10/27/2017)

Nevada
(2/26/2016)

New Jersey
(2/26/2016)

New York
(2/26/2016)

North Carolina
(2/26/2016)

Pennsylvania
(2/26/2016)

Rhode Island
(5/19/2022)

South Carolina
(2/26/2016)

Tennessee
(2/26/2016)

Texas
(2/26/2016)

IAR

Texas
(10/21/2025)

Virginia
(11/17/2021)

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: 5/30/2003

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: 12/10/1999

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

William J. Brooke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William J Brooke JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

PRIME CAPITAL SERVICES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/10/1999

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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