Richard N. Dunsford

J. W. COLE ADVISORS

TAMPA, FL 33634

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CRD#: 4568607

Professional summary

Richard Noah Dunsford, who also goes by Rich Dunsford, 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.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 6 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Dunsford

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) Rich Dunsford; Not investment related; 506 5th Street South Safety Harbor, FL 34695; Insurance sales of fixed life and annuity products. No securities or investment advisory business conducted through this activity; Licensed insurance agent; Start 8/27/25; 5 hours/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Noah Dunsford'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

July 18, 2018 - Present

J. W. COLE ADVISORS, INC.

Office #1: 4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

RIA

CRD#: 112294

TAMPA, FL

Current

June 20, 2018 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 4301 Anchor Plaza Pkwy. Suite 450, Tampa, FL 33634

CRD#: 124583

Tampa, FL

Past

May 10, 2016 - November 2, 2017

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

May 10, 2016 - November 2, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

May 10, 2016 - November 2, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

March 2, 2007 - November 2, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

June 15, 2006 - November 2, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

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

Florida
(6/20/2018)

IAR

General Securities Principal 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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Firm Stability Insights

Richard N. Dunsford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Noah Dunsford's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2007

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2006

Series 27

Date: 12/7/2010

Series 4

Date: 3/27/2007

Series 53

Date: 1/26/2007

Series 24

Date: 7/28/2006

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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