Stephen M. Drizos

J. W. COLE ADVISORS

Canonsburg, PA 15317

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CRD#: 5773670

Professional summary

Stephen M. Drizos JR., AIF®, who also goes by Stephen M Drizos, Steve M. Drizos Jr., is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Canonsburg, Pennsylvania and J.W. COLE FINANCIAL, INC. located in Canonsburg, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen M Drizos | Steve M. Drizos Jr.

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) LIBERTY WEALTH STRATEGIES - DBA; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; FINANCIAL PLANNING, FIXED INSURANCE, INVESTMENT MANAGEMENT; PRESIDENT; 09/16/2018; APPX 200 HOURS/MONTH; APPX 130 HOURS/MONTH DURING TRADING; FINANCIAL PLANNING, FIXED INSURANCE, INVESTMENT MANAGEMENT (2) Danielle Diaz Insurance Solutions / Liberty Wealth Strategies; Not investment related; 134 Rose Ave, Canonsburg, PA 15317; Referrer; Refer Medicare opportunities to insurance agent; Start 7/1/24; 2 hours/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen M. Drizos JR.'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 17, 2018 - Present

J. W. COLE ADVISORS, INC.

Office #1: 1900 Main Street Suite 219, Canonsburg, PA 15317

RIA

CRD#: 112294

Canonsburg, PA

Current

October 17, 2018 - Present

J.W. COLE FINANCIAL, INC.

Office #2: 1900 Main St. Suite 231, Canonsburg, PA 15317

CRD#: 124583

Canonsburg, PA

Past

September 15, 2018 - October 12, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CANONSBURG, PA

Past

September 14, 2018 - October 12, 2018

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

CANONSBURG, PA

Past

January 10, 2012 - July 12, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

April 23, 2010 - July 12, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, 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

Colorado
(1/10/2020)

Florida
(10/17/2018)

Maryland
(10/27/2023)

North Carolina
(1/22/2024)

Pennsylvania
(10/17/2018)

IAR

Pennsylvania
(10/17/2018)

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 65

Date: 1/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/12/2010

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

Stephen M. Drizos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen M. Drizos JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SUMMIT BROKERAGE SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2012

Series 63

Date: 5/3/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/15/2012

Series 6

Date: 4/12/2010

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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