Michael R. Rubenstein

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CRD#: 5445954

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Robert Rubenstein, who also goes by Michael Rubenstein, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 5 firms and has passed the Series 66, Series 22TO, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Rubenstein

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) MICHAEL R. RUBENSTEIN, CPA, PA , NON INVESTMENT RELATED. 8270-201 COLLEGE PKWY, FORT MYERS, FLORIDA 33919. CERTIFIED PUBLIC ACCOUNTANTS. PRESIDENT AND SOLE-SHAREHOLDER. BEGAN 4/79. DEVOTES 170 HRS/MNTH, 150 HRS/MNTH DURING TRADING. 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) CORAL LANES, INC, 28351 S TAMIAMI TR, BONITA SPRINGS, FL 34134. BEGAN 5/84 AS DIRECTOR OF BOWLING FACILITY. NOT INVESTMENT RELATED. DEVOTES 5 HRS/YR NONE DURING TRADING. 4) DIRECTOR OF GOLD COAST ROTARY CLUB OF CAPE CORAL, FLORIDA. NOT RESPONSIBLE FOR ANY TREASURY FUNCTIONS. NO TIME SPENT DURING TRADING HOURS. 5) RUB-ARK LLC. B. OWNS REAL ESTATE C. NON-INVESTMENT RELATED D. 4 HRS/MONTH E. NON OFFICER/DIRECTOR POSITION F. PAY BILLS, DO ACCOUNTING, DISCUSS ACTIVITY WIT OTHER MEMBERS 6) DBA - Schlager, Schlager & Levin; investment related; Financial Professional - start date 5/1/2010; 12525 New Brittany Blvd. Bldg. 30 Fort Myers, FL 33907; DBA for securities & insurance business; 1 hour per month, 1 hour during trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2010 - December 31, 2022

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

FT. MYERS, FL

Past

September 1, 2010 - December 31, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

FT. MYERS, FL

Past

March 18, 2009 - December 31, 2010

SCHLAGER SCHLAGER & LEVIN

RIA

CRD#: 144104

FT. MYERS, FL

Past

July 29, 2008 - June 9, 2009

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FT MEYERS, FL

Past

March 11, 2008 - September 29, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FORT MYERS, FL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 7/25/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2008

General Securities 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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Firm Stability Insights

Michael R. Rubenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SCHLAGER SCHLAGER & LEVIN

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2008

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/10/2008

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.

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