SF
Steven A. Foster
J. W. COLE ADVISORS
Tucson, AZ 85711
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CRD#: 5670420
SF
Professional summary
Steven Alan Foster, who also goes by Steven A Emmons, Steven Alan Emmons, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Tucson, Arizona and J.W. COLE FINANCIAL, INC. located in Tucson, Arizona.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven A Emmons | Steven Alan Emmons
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) Foster Financial Services LLC; DBA; Financial Services; Investment related; 310 S. Williams Blvd, Ste 180, Tucson, AZ 85711; Founder/Owner; Work as an advisor servicing clients for Foster Financial Service; Start 5/1/2012; 160 hours/month, 160 hours/month during trading. (2) Foster Wealth Management; DBA; Investment Related; 310 W. Williams Blvd, Ste 180, Tucson, AZ 85711; Owner/Founder; Financial Services; Start 1/1/2024; 160 hours/month, 160 hours/month during trading. (3) Life Insurance Agent; Not investment related; 310 S. Williams Blvd, Ste 180, Tucson, AZ 85711; Producer; Provide Life insurance products to clients that need Life Insurance as a part of our planning; Start 2009; 40 hours/month, 10 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Alan Foster's 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®
NoneExperience
Current
January 30, 2024 - Present
J. W. COLE ADVISORS, INC.
Office #1: 310 S. Williams Blvd Suite 180, Tucson, AZ 85711RIA
CRD#: 112294
Tucson, AZ
Current
January 26, 2024 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 310 S. Williams Blvd. Suite 180, Tucson, AZ 85711BD
CRD#: 124583
Tucson, AZ
Past
January 7, 2020 - January 31, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
TUCSON, AZ
Past
January 6, 2020 - January 31, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
TUCSON, AZ
Past
April 6, 2017 - January 10, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TUCSON, AZ
Past
May 30, 2012 - January 10, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TUCSON, AZ
Past
June 18, 2009 - June 6, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
TUCSON, AZ
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)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.RR
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
RR
Arizona(1/26/2024)
IAR
Arizona(1/30/2024)
RR
California(4/3/2025)
IAR
Texas(10/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | 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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Tucson, AZ 85711TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
