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SJ

Stephan R. Joseph

Some features on this profile are disabled
CRD#: 5748689
SJ

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.

Stephan Roger Joseph was a registered financial professional .

Stephan is a previously registered financial professional and started their career in finance in 2010. Stephan had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

February 22, 2016 - March 6, 2017

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Tarpon Springs, FL
Past

February 16, 2016 - February 21, 2017

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Tarpon Springs, FL
Past

January 19, 2016 - March 5, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
TARPON SPRINGS, FL
Past

October 28, 2015 - March 5, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
TARPON SPRINGS, FL
Past

September 4, 2014 - October 5, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CLEARWATER, FL
Past

October 8, 2013 - July 28, 2014

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CLEARWATER, FL
Past

September 25, 2012 - February 28, 2013

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
TAMPA, FL
Past

August 4, 2010 - August 23, 2012

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
ST. PETERSBURG, 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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/28/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/3/2010
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts29,614
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.

Company Information

J. W. COLE ADVISORS, INC.

CRD#: 112294

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