Michael N. Zimmerman

J. W. COLE ADVISORS

Lancaster, PA 17601

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CRD#: 5597437

Professional summary

Michael Neil Zimmerman, who also goes by Michael N Zimmerman, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Lancaster, Pennsylvania and J.W. COLE FINANCIAL, INC. located in Lancaster, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael N Zimmerman

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) REGAL WEALTH ADVISORS, LLC; INVESTMENT RELATED; 108 Foxshire Drive, Suite 2 Lancaster, PA 17601; DBA NAME FOR SECURITIES AND ADVISORY BUSINESS; PRESIDENT; 6/15/19; 200 HRS PER MONTH; 140 HRS DURING TRADING HRS. (2) AGENT OF SEVERAL INSURANCE COMPANIES. RECEIVE COMMISSIONS ON BUSINESS PLACED. (3) Regal Wealth Holdings LLC; Real Estate; Not investment Related; 108 Foxshire Drive, Suite 2, Lancaster, PA 17601; President/Owner; Own and maintain building; Start 7/30/2023; 5 hrs./mo. during trading. (4) Rental Property; Not investment Related; 321 Rhoda Dr, Lancaster, PA 17601; Landlord owner; Maintain property; Start 8/1/16; 0 hours month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Neil Zimmerman'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

January 20, 2012 - Present

J. W. COLE ADVISORS, INC.

Office #1: 108 Foxshire Drive Suite 2, Lancaster, PA 17601Office #2: 1990 Main Street Suite 741, Sarasota, FL 34236

RIA

CRD#: 112294

Lancaster, PA

Current

January 20, 2012 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 108 Foxshire Drive Suite 2, Lancaster, PA 17601Office #2: 1990 Main Street Suite 750, Sarasota, FL 34236

CRD#: 124583

Lancaster, PA

Past

March 11, 2019 - July 2, 2019

SEQUINOX WEALTH ADVISORS, LLC.

RIA

CRD#: 299025

LANCASTER, PA

Past

July 19, 2010 - January 23, 2012

PELION INVESTMENT ADVISORS, INC.

RIA

CRD#: 138400

TAMPA, FL

Past

July 5, 2010 - January 23, 2012

FIRST LIBERTIES FINANCIAL

CRD#: 14432

LANCASTER, PA

Past

February 2, 2009 - July 1, 2010

WORKMAN SECURITIES CORPORATION

CRD#: 31898

LANCASTER, PA

Past

September 18, 2008 - July 1, 2010

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

LANCASTER, 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

Delaware
(6/13/2017)

Florida
(1/2/2018)

Georgia
(10/14/2024)

Maryland
(1/2/2018)

Massachusetts
(1/2/2025)

New York
(7/28/2025)

North Carolina
(1/2/2025)

Ohio
(1/3/2023)

Pennsylvania
(1/20/2012)

IAR

Pennsylvania
(1/20/2012)

South Carolina
(1/2/2025)

Texas
(4/30/2018)

IAR

Texas
(10/22/2025)

Utah
(5/23/2024)

Virginia
(11/20/2014)

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

Series 63

Date: 2/12/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/1/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/31/2009

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

Michael N. Zimmerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Neil Zimmerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SEQUINOX WEALTH ADVISORS, LLC.

PELION INVESTMENT ADVISORS, INC.

FIRST LIBERTIES FINANCIAL

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/12/2009

Series 65

Date: 5/1/2008

SIE

Date: 10/1/2018

Series 6

Date: 1/31/2009

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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