Ricky A. Lafon

J. W. COLE ADVISORS

MIDLOTHIAN, VA 23112

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CRD#: 5223000

Professional summary

Ricky Aaron Lafon, CFP®, who also goes by Ricky A Lafon, Ricky Lafon, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Midlothian, Virginia.

Ricky is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Ricky has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricky A Lafon | Ricky Lafon

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.

FINANCIAL DYNAMICS AND ASSOCIATES PROVIDES INSURANCE PRODUCTS TO OUR CLIENTS TO FULFILL FINANCIAL PLANS 13537 Waterford Place MIDLOTHIAN, VA 23112 RETIREMENT PLANNER NOVEMBER 2014 160 HOURS PER MONTH, 6-8 HOURS DURING TRADING HOURS RESEARCH, RECOMMEND AND PROVIDE INSURANCE PRODUCTS SPECIFIC TO A CLIENT TO FULFILL AN OVERALL FINANCIAL PLAN. Lafon Properties Landlord Non-investment Related Has 2 rental properties August 2017 0 Trading hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricky Aaron Lafon'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

April 16, 2019 - Present

J. W. COLE ADVISORS, INC.

Office #1: 13537 Waterford Place, Midlothian, VA 23112

RIA

CRD#: 112294

MIDLOTHIAN, VA

Past

July 17, 2015 - April 23, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

MIDLOTHIAN, VA

Past

March 21, 2013 - December 31, 2013

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

MIDLOTHIAN, VA

Past

August 10, 2011 - March 20, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

MIDLOTHIAN, VA

Past

August 20, 2010 - July 20, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

MIDLOTHIAN, VA

Past

October 31, 2006 - August 3, 2010

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

RICHMOND, VA

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.

Highlighted states indicate IAR registrations

IAR

Texas
(8/26/2025)

IAR

Virginia
(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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/30/2006

Investment Company Products/Variable Contracts Representative Examination

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

Ricky A. Lafon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricky Aaron Lafon's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

AVANTAX INVESTMENT SERVICES, INC.

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2015

Series 63

Date: 11/13/2006

Series 6

Date: 10/30/2006

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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