James T. Nelson

J. W. COLE ADVISORS

TAMPA, FL 33634

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CRD#: 4693173

Professional summary

James Thomas Nelson, who also goes by Jim Thomas Nelson, 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.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 12 firms and has passed the Series 65, Series 63, Series 62, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Thomas Nelson

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) DIVIDEND WEALTH MANAGEMENT; 4301 Anchor Plaza Parkway, Ste 450, Tampa FL 33634; FIXED INSURANCE SALES AND SERVICE; 15% OF TIME SPENT IN ACTIVITIES INVOLVING THE BUSINESS. (2) PaigeyPie LLC; Not Investment Related; 17633 Gunn Highway, Ste 160 Odessa FL 33556; Holding Company; MBR; No business activity, this is a holding company; Start 8/25/2025; 0 hours/month during trading. (3) AngelBear Inc; Not Investment Related;�17633 Gunn Highway, Ste 160 Odessa FL 33556; �S -Corp, this is just a holding company, no active business; Start 8/21/2025; 0 hours/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Nelson'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 23, 2019 - Present

J. W. COLE ADVISORS, INC.

Office #1: 4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634

RIA

CRD#: 112294

TAMPA, FL

Current

April 16, 2019 - Present

J.W. COLE FINANCIAL, INC.

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

CRD#: 124583

TAMPA, FL

Past

September 11, 2013 - April 24, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

LAND O LAKES, FL

Past

September 9, 2013 - April 18, 2019

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

LAND O LAKES, FL

Past

September 8, 2009 - October 2, 2013

LPL FINANCIAL LLC

CRD#: 6413

TAMPA, FL

Past

June 5, 2007 - September 23, 2013

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

TAMPA, FL

Past

March 21, 2007 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

TAMPA, FL

Past

October 24, 2006 - December 4, 2006

TD AMERITRADE, INC.

CRD#: 7870

ORLANDO, FL

Past

February 24, 2006 - September 29, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

Past

November 11, 2004 - November 9, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 8, 2004 - October 25, 2004

GRANTA CAPITAL GROUP LLC

CRD#: 114657

NEW YORK, NY

Past

November 21, 2003 - June 21, 2004

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, 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

Florida
(4/16/2019)

IAR

Florida
(4/23/2019)

Georgia
(6/3/2024)

New York
(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: 5/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/2009

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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Advisor Monitoring

Firm Stability Insights

James T. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

INDEPENDENT FINANCIAL PARTNERS

MUTUAL SERVICE CORPORATION

TD AMERITRADE, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CHASE INVESTMENT SERVICES CORP.

GRANTA CAPITAL GROUP LLC

S.W. BACH & COMPANY

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2007

Series 63

Date: 9/8/2003

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2003

Series 24

Date: 9/24/2009

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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