JA
James F. Allston
J. W. COLE ADVISORS
CLEARWATER, FL 33761
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CRD#: 4754542
JA
Professional summary
James Frank Allston is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Clearwater, Florida and J.W. COLE FINANCIAL, INC. located in Clearwater, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FIXED INSURANCE AGENT
(2) A) BETHEL LUTHERAN CHURCH B) 3155 N. MCMULLEN ROAD, CLEARWATER, FL 33761 C) RELIGION D) NON-INVESTMENT RELATED E) 4 HR/MONTH F) PRESIDENT OF CONGREGATION G) LEAD MONTHLY COUNCIL MEETINGS AND PARTICIPATE AND CONSULT IN THE ACTIVITIES OF THE CHURCH
(3) A. DBA - WEALTH PUZZLE MANAGER (ADDED 2/12/15) B. INVESTMENT RELATED C. 3001 COUNTRYSIDE BLVD, CLEARWATER, FL 33761 D. FINANCIAL ADVISING, MGMT & CONSULTATION E. FINANCIAL ADVISOR F. 9/2007 G. 160 HRS/MONTH H. ALL TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view James Frank Allston's 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®
NoneExperience
Current
August 29, 2007 - Present
J. W. COLE ADVISORS, INC.
Office #1: 3001 Countryside Boulevard, Clearwater, FL 33761RIA
CRD#: 112294
CLEARWATER, FL
Current
August 29, 2007 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 3001 Countryside Boulevard, Clearwater, FL 33761BD
CRD#: 124583
Clearwater, FL
Past
December 19, 2005 - September 6, 2007
NEW ENGLAND SECURITIES
RIA
CRD#: 615
TAMPA, FL
Past
August 18, 2005 - September 6, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
TAMPA, FL
Past
April 27, 2004 - August 19, 2005
WADDELL & REED
RIA
CRD#: 866
PALM HARBOR, FL
Past
April 1, 2004 - August 19, 2005
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)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.RR
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
RR
Alabama(1/14/2014)
RR
Arizona(11/6/2017)
RR
California(10/23/2024)
RR
Florida(8/29/2007)
IAR
Florida(8/30/2007)
RR
Illinois(8/29/2007)
RR
Texas(5/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Clearwater, FL 33761TRUST BUT VERIFY
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