Susan D. Gabor

J. W. COLE ADVISORS

Saylorsburg, PA

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CRD#: 4120190

Professional summary

Susan Diane Gabor, CFP®, who also goes by Susan Diane Pearson, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Saylorsburg, Pennsylvania and FINANCIAL PLANNING HAWAII, INC. located in Saylorsburg, Pennsylvania.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Susan has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Diane Pearson

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) Financial Planning Hawaii; DBA; Investment related; 677 Ala Moana Blvd. Suite 605, Honolulu, HI 96813; Advisor Support, Client Support Specialist; Start 10/11/2023; 80 hrs./mo., 80 hrs./mo. during trading. (2) POA for Barbara Pearson (3) POA for Kenneth Pearson (4) J.W. Cole Financial, Inc./Saylorsburg, PA/Registered Representative/October 2023/Approximately 80 hours per month (5) J.W. Cole Advisors, Inc./Saylorsburg, PA/Investment Advisor Representative/October 2023Approximately 80 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Diane Gabor'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: 2007

Experience

Current

October 13, 2023 - Present

J. W. COLE ADVISORS, INC.

Office #2: 677 Ala Monana Blvd. Suite 605, Honolulu, HI 96813

RIA

CRD#: 112294

Saylorsburg, PA

Current

March 22, 2024 - Present

FINANCIAL PLANNING HAWAII, INC.

RIA

CRD#: 153930

Saylorsburg, PA

Past

October 13, 2023 - November 20, 2025

J.W. COLE FINANCIAL, INC.

CRD#: 124583

TAMPA, FL

Past

June 16, 2023 - October 12, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Fort Lauderdale, FL

Past

June 16, 2023 - October 12, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Fort Lauderdale, FL

Past

October 30, 2002 - July 11, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Center Valley, PA

Past

January 20, 2000 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 20, 2000 - July 11, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Center Valley, 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.

Highlighted states indicate IAR registrations

IAR

Hawaii
(10/13/2023)

IAR

Pennsylvania
(10/13/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/29/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/21/2000

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: 1/19/2000

General Securities Representative Examination

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

Susan D. Gabor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Diane Gabor's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANNING HAWAII, INC.

J.W. COLE FINANCIAL, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/2002

Series 63

Date: 1/21/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2000

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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