NJ
Nicole E. Jones
J. W. COLE ADVISORS
Fairport, NY 14450
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CRD#: 5698053
NJ
Professional summary
Nicole E Jones, who also goes by Nicole Elizabeth James, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Fairport, New York and J.W. COLE FINANCIAL, INC. located in Fairport, New York.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Nicole has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Elizabeth James
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) Lifetime Planning, Inc.; DBA; Investment Related; 6800 Pittsford-Palmyra Road, Suite 250, Faiport NY 14450; Insurance Sales; Work with prospects that want life insurance; Start 11/2019; 15 hrs./mo., 15 hrs./mo. during trading. (2) Fixed Insurance; non-investment related; 6800 Pittsford-Palmyra Road, Suite 250, Faiport NY 14450; Fixed insurance sales; Salesperson, Advise clients on purchase of fixed life, annuity, disability & LTC; Start 10/2014; 10 hrs./mo., 0 during trading hours. (3) Executor for Mother's Estate
CRS (Client Relationship Summary) - RIA
Click below to view Nicole E Jones'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
September 29, 2023 - Present
J. W. COLE ADVISORS, INC.
Office #1: 6800 Pittsford-palmyra Rd, Fairport, NY 14450Office #2: 170 Franklin Street, Dansville, NY 14437RIA
CRD#: 112294
Fairport, NY
Current
September 29, 2023 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 6800 Pittsford-palmyra Road Suite 250, Fairport, NY 14450BD
CRD#: 124583
Fairport, NY
Past
November 1, 2021 - October 18, 2023
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
FAIRPORT, NY
Past
June 9, 2021 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Fairport, NY
Past
July 7, 2015 - October 18, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Fairport, NY
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
Florida(9/29/2023)
RR
Kentucky(5/31/2024)
RR
Mississippi(9/2/2025)
RR
New York(9/29/2023)
IAR
New York(9/29/2023)
RR
North Carolina(5/31/2024)
RR
Pennsylvania(10/1/2025)
RR
South Carolina(9/29/2023)
Exams
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Fairport, NY 14450TRUST BUT VERIFY
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