Dick T. Vandermolen

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CRD#: 4442110

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dick Todd Vandermolen, who also goes by T Vandermouen Richard, Richard Thomas Vandermolen, Richard T Vandermouen, was a registered financial advisor .

Dick is a previously registered financial advisor and started their career in finance in 2001. Dick had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

T Vandermouen Richard | Richard Thomas Vandermolen | Richard T Vandermouen

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 2014 - October 19, 2015

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

GILBERT, AZ

Past

October 23, 2013 - October 16, 2015

J.W. COLE FINANCIAL, INC.

CRD#: 124583

GILBERT, AZ

Past

February 15, 2011 - November 14, 2013

VERUS CAPITAL PARTNERS, LLC

RIA

CRD#: 151568

GILBERT, AZ

Past

September 29, 2010 - August 29, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

GILBERT, AZ

Past

March 29, 2006 - September 30, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

SCOTTSDALE, AZ

Past

September 6, 2001 - March 29, 2006

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

PHOENIX, AZ

Past

September 6, 2001 - March 29, 2006

CRI SECURITIES, LLC

CRD#: 22589

PHOENIX, AZ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/26/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2001

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

Dick T. Vandermolen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

VERUS CAPITAL PARTNERS, LLC

SECURITIES AMERICA, INC.

NEXT FINANCIAL GROUP, INC.

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2011

SIE

Date: 10/16/2015

Series 7

Date: 9/5/2001

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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