Keith L. Glaser

J. W. COLE ADVISORS

Tampa, FL 33629

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CRD#: 4437077

Professional summary

Keith Leon Glaser, who also goes by Keith L Glaser, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Tampa, Florida and J.W. COLE FINANCIAL, INC. located in Tampa, Florida.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Keith has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith L Glaser

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) INSURANCE SERVICES; 4301 ANCHOR PLAZA PARKWAY, SUITE 450, TAMPA, FL 33634; AGENT; 10/2014; NON INVESTMENT RELATED; SALES; 4 HRS/MONTH, 4 HRS/MONTH DURING TRADING HOURS; SALES AND SERVICE (2) KASE WEALTH ADVISORS; DBA; Investment related; 4302 Henderson Blvd, Ste 201; Managing Director; investment business; Start 11/1/2014. (3) Limitless Alpha; Not investment related; 3822 W Angeles St Tampa, FL 33629; President; For tax purposes; Start 9/23/2015; 2 hours per month, 0 during trading hours. (4) Rental Property; Not investment related; 5440 S. Macdill Ave, 2H; Owner/Landlord; Start 4/4/2016; 0 hours/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Leon Glaser'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

October 9, 2014 - Present

J. W. COLE ADVISORS, INC.

Office #1: 4302 Henderson Boulevard Suite 201, Tampa, FL 33629

RIA

CRD#: 112294

Tampa, FL

Current

October 1, 2014 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 4302 Henderson Boulevard Suite 201, Tampa, FL 33629

CRD#: 124583

Tampa, FL

Past

July 9, 2013 - October 2, 2014

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

TAMPA, FL

Past

March 18, 2010 - May 15, 2013

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

TAMPA, FL

Past

August 28, 2009 - February 13, 2015

PLATINUM WEALTH PARTNERS

RIA

CRD#: 145507

TAMPA, FL

Past

February 11, 2009 - April 1, 2010

OSAIC WEALTH, INC.

CRD#: 23131

TAMPA, FL

Past

April 2, 2007 - December 17, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

TAMPA, FL

Past

April 2, 2007 - December 17, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

TAMPA, FL

Past

October 22, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TAMPA, FL

Past

October 22, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

TAMPA, FL

Past

September 13, 2001 - October 26, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SARASOTA, FL

Past

September 12, 2001 - October 26, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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

Arizona
(10/1/2014)

California
(10/1/2014)

Florida
(10/1/2014)

IAR

Florida
(10/9/2014)

IAR

Texas
(10/22/2025)

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: 4/15/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/17/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/11/2001

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

Keith L. Glaser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Leon Glaser's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

G.F. INVESTMENT SERVICES, LLC

LASALLE ST SECURITIES, L.L.C.

PLATINUM WEALTH PARTNERS

OSAIC WEALTH, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2002

SIE

Date: 10/1/2018

Series 31

Date: 2/17/2005

Series 7

Date: 9/11/2001

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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