Samuel G. Coccia

J. W. COLE ADVISORS

White Oak, PA 15131

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CRD#: 4406786

Professional summary

Samuel Gerald Coccia Jr., who also goes by Samuel Gerald Coccia Jr, Samuel Gerald Coccia, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in White Oak, Pennsylvania and J.W. COLE FINANCIAL, INC. located in White Oak, Pennsylvania.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Samuel has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel Gerald Coccia Jr | Samuel Gerald Coccia

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) SYNERGY FINANCIAL/MCKEESPORT, PA /AGENT/SINCE 1997/SOME INVESTMENT RELATED, SOME NOT/INDEPENDENT INSURANCE AGENCY/SALES OF INSURANCE PRODUCTS: FIXED LIFE AND ANNUITY PRODUCTS, HEALTH, MEDICARE & DISABILITY PRODUCTS/30 HOURS PER WEEK DEVOTED. (2) COCCIA GROUP, INC - 911 CHERRY ST. GREENOCK, PA 15047 - INSURANCE RELATED SALES - DUTIES INCLUDE PAYROLL AND ATTENDING ANNUAL MEETING - PRESIDENT/OWNER - START DATE 7/30/2012 - NON-INVESTMENT RELATED - SPEND 1-2 HOURS PER WEEK. (3) Referee - 900 Castle Shannon Rd Pittsburgh, PA 15234 - On-ice official/ hockey referee - Start Date 2/1/2023 - Not investment related - 0 hours per week during trading hours. (4) First Evangelical Free Church; Not investment related; 4001 University Dr, McKeesport, PA 15132; Trustee; Creating and implementing annual budget. Deal with employment and building maintenance; Start 4/1/2025; 3 hours/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Gerald Coccia 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

April 16, 2019 - Present

J. W. COLE ADVISORS, INC.

Office #1: 1967 Lincoln Way, White Oak, PA 15131

RIA

CRD#: 112294

White Oak, PA

Current

April 16, 2019 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 1967 Lincoln Way, White Oak, PA 15131

CRD#: 124583

White Oak, PA

Past

June 25, 2013 - April 23, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

WHITE OAK, PA

Past

June 25, 2013 - April 18, 2019

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

WHITE OAK, PA

Past

October 4, 2011 - June 21, 2013

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

SCHAUMBURG, IL

Past

October 3, 2011 - June 21, 2013

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

MCKEESPORT, PA

Past

September 16, 2010 - September 30, 2011

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

MCKEESPORT, PA

Past

September 16, 2010 - September 30, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

MCKEESPORT, PA

Past

November 14, 2007 - August 19, 2010

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

MCKEESPORT, PA

Past

June 6, 2005 - August 19, 2010

LEGEND EQUITIES CORPORATION

CRD#: 30999

MCKEESPORT, PA

Past

March 17, 2004 - May 25, 2005

OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.

CRD#: 21304

BADEN, PA

Past

July 30, 2003 - September 16, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 25, 2002 - July 2, 2003

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

May 14, 2002 - October 14, 2002

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

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

Pennsylvania
(4/16/2019)

IAR

Pennsylvania
(4/16/2019)

IAR

Texas
(8/26/2025)

Virginia
(5/30/2024)

Washington
(1/27/2020)

West Virginia
(4/16/2019)

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 65

Date: 11/5/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/13/2002

Investment Company Products/Variable Contracts 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

Samuel G. Coccia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Gerald Coccia Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

CL WEALTH MANAGEMENT LLC

ALLIED BEACON PARTNERS, INC.

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.

MML INVESTORS SERVICES, LLC

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/2007

Series 63

Date: 1/28/2002

SIE

Date: 10/1/2018

Series 6

Date: 5/13/2002

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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