Joshua A. Belkin

J. W. COLE ADVISORS

Orange, CA 92866

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CRD#: 4858752

Professional summary

Joshua Aaron Belkin, who also goes by Joshua A Belkin, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Orange, California and J.W. COLE FINANCIAL, INC. located in Orange, California.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joshua has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua A Belkin

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) Modern Wealth Design; DBA; 125 S. Olive Street, Orange, CA 92866; Financial Planner; Financial Advising, planning and management; Start 2/1/2024; 40 hours/month, 40 hours/month during trading. (2) Website; Travel and Wrestling; 4546 Edgeware Rd, Unit A, San Diego, CA 92116; Owner; Creating Clients who like to travel or wrestling, and sell shirts and products via Amazon; Start 9/2018; 4 hours/month, 0 during trading. (3) Joshua Belkin; Not Investment Related; 4546 Edgeware Road Unit A, San Diego CA 92116; Disability, Sales; Owner Operator; Start 9/1/2025; 10 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Aaron Belkin'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

May 23, 2024 - Present

J. W. COLE ADVISORS, INC.

Office #1: 125 S. Olive Street, Orange, CA 92866

RIA

CRD#: 112294

Orange, CA

Current

May 23, 2024 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 125 S. Olive Street, Orange, CA 92866

CRD#: 124583

Orange, CA

Past

September 8, 2020 - May 24, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Newport Beach, CA

Past

September 4, 2020 - May 24, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

Newport Beach, CA

Past

October 20, 2016 - September 12, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 105387

Los Angeles, CA

Past

October 20, 2016 - September 12, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387

Los Angeles, CA

Past

October 1, 2012 - October 18, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WOODLAND HILLS, CA

Past

October 1, 2012 - October 18, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

WOODLAND HILLS, CA

Past

December 15, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

TARZANA, CA

Past

June 3, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

TARZANA, CA

Past

November 22, 2004 - March 10, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

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
(5/23/2024)

California
(5/23/2024)

IAR

California
(5/23/2024)

Florida
(5/23/2024)

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: 12/14/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/2/2010

Investment Company Products/Variable Contracts 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

Joshua A. Belkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Aaron Belkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

VALLEY FINANCIAL MANAGEMENT, INC.

VALLEY FINANCIAL MANAGEMENT, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2010

Series 63

Date: 6/11/2010

SIE

Date: 9/12/2018

Series 7

Date: 11/17/2010

Series 6

Date: 6/2/2010

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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