Paul Gardner

J. W. COLE ADVISORS

SARASOTA, FL 34232

Some features on this profile are disabled

CRD#: 5750675

Professional summary

Paul Gardner, who also goes by Paul Timothy Gardner, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Sarasota, Florida and J.W. COLE FINANCIAL, INC. located in Sarasota, Florida.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Paul has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Timothy Gardner

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) I*46358 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PERSONAL LANDLORD INVESTMENT RELATED: N ADDRESS OF BUSINESS: SARASOTA, FLORIDA 34239 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 10/3/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I OWN REAL ESTATE AS AN INVESTMENT 2. MAIN STREET PRIVATE CAPITAL, LLC / DBA / 1343 MAIN STREET SUITE 302 SARASOTA, FL 34236 / 10-1-2019 / DBA NAME FOR SECURITIES AND ADVISORY BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Gardner'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

April 29, 2019 - Present

J. W. COLE ADVISORS, INC.

Office #1: 1343 Main Street Suite 302, Sarasota, FL 34232

RIA

CRD#: 112294

SARASOTA, FL

Current

April 16, 2019 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 1343 Main Street Suite 302, Sarasota, FL 34236

CRD#: 124583

SARASOTA, FL

Past

July 15, 2016 - April 18, 2019

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

MCDONOUGH, GA

Past

June 9, 2016 - April 30, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

SARASOTA, FL

Past

October 31, 2011 - May 31, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SARASOTA, FL

Past

October 31, 2011 - May 31, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SARASOTA, FL

Past

March 29, 2010 - April 12, 2011

MORGAN STANLEY

RIA

CRD#: 149777

SARASOTA, FL

Past

March 3, 2010 - April 12, 2011

MORGAN STANLEY

CRD#: 149777

SARASOTA, 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.

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

Florida
(4/16/2019)

IAR

Florida
(4/29/2019)

IAR

Texas
(8/26/2025)

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

IAR

Series 66

Date: 3/23/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/23/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/2/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/2016

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

Adam Ausloos

ADVICEWORKS WEALTH ADVISORS

IAR

SARASOTA, FL

John Darby

GRAHAM CAPITAL WEALTH MANAGEMENT, LLC

IAR

SARASOTA, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul Gardner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Gardner's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

G.F. INVESTMENT SERVICES, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2010

SIE

Date: 10/1/2018

Series 31

Date: 4/23/2010

Series 7

Date: 3/2/2010

Series 24

Date: 9/28/2016

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

Similar Advisors