Sean P. Foley

J. W. COLE ADVISORS

Hummelstown, PA 17036

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CRD#: 4922993

Professional summary

Sean Patrick Foley is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Hummelstown, Pennsylvania and J.W. COLE FINANCIAL, INC. located in Hummelstown, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Sean has worked at 6 firms and has passed the Series 66, Series 65, Series 63, 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) Life insurance sales; Position: Insurance agent Nature: Life insurance sales Investment Related: Yes Hours: 10 Securities Trading Hours: 8 Start Date: 10/01/2018; Address: 49 E. Main Street, R Hummelstown, PA 17036. (2) Comprehensive Wealth Strategies; DBA; Investment Related; 49 East Main Street Rear, Hummelstown, PA 17036; Registered Representative; Sales and Services; Start 1/5/2024; 160 hours/month, 160 hours/month during trading. (3) POA for Mother

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Foley'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

October 1, 2018 - Present

J. W. COLE ADVISORS, INC.

Office #1: 49 E. Main Street Rear, Hummelstown, PA 17036

RIA

CRD#: 112294

Hummelstown, PA

Current

October 1, 2018 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 49 E. Main Street Rear, Hummelstown, PA 17036

CRD#: 124583

Hummelstown, PA

Past

October 19, 2017 - October 12, 2018

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HERSHEY, PA

Past

October 19, 2017 - October 12, 2018

SECURITIES AMERICA, INC.

CRD#: 10205

HERSHEY, PA

Past

April 12, 2017 - October 23, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HERSHEY, PA

Past

April 12, 2017 - October 23, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

HERSHEY, PA

Past

December 16, 2013 - April 24, 2017

EDWARD JONES

RIA

CRD#: 250

HERSHEY, PA

Past

October 1, 2013 - April 24, 2017

EDWARD JONES

CRD#: 250

HERSHEY, PA

Past

March 14, 2005 - May 3, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

HERSHEY, PA

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
(1/3/2022)

Pennsylvania
(10/1/2018)

IAR

Pennsylvania
(10/1/2018)

South Carolina
(11/18/2024)

West Virginia
(1/3/2022)

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 66

Date: 10/18/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/10/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/2013

General Securities 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

Sean P. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Foley's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

EDWARD JONES

EDWARD JONES

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2013

Series 65

Date: 2/10/2006

Series 63

Date: 3/17/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/30/2013

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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