MG
Mary C. Giblin
J. W. COLE ADVISORS
Keystone Heights, FL 32656
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CRD#: 6886929
MG
Professional summary
Mary Catherine Giblin, who also goes by Katie Giblin, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Keystone Heights, Florida and J.W. COLE FINANCIAL, INC. located in Palatka, Florida.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Mary has worked at 2 firms and has passed the Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Giblin
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) DBA - Riverside Wealth Advisors, LLC; investment related; start date 11/2017 - Practice Manager; 1419 Reid Street Palatka, FL 32177; back of house filings, business operations; 160 hours per month, 143 hours per month during trading. (2) Insurance Agent; Investment related; Insurance Agent selling fixed insurance products; Best practice / ensure suitability; Start 2/7/2022; 10 hours/mo. during trading. (3) River City Taxes; Tax preparation; Not investment related; 266 Chesser Rd, Palatka, FL 32177; IRA Seasonal Filer; Start 10/20/24; 15 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mary Catherine Giblin'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
February 21, 2022 - Present
J. W. COLE ADVISORS, INC.
Office #1: 160 Sw Nightingale St. Unit B, Keystone Heights, FL 32656Office #2: 10151 Deerwood Park Blvd Bldg. 200, Suite 101, Jacksonville, FL 32256Office #3: 117 N. 2nd Street, Palatka, FL 32177RIA
CRD#: 112294
Keystone Heights, FL
Current
August 17, 2022 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 117 N. 2nd Street, Palatka, FL 32177Office #2: 10151 Deerwood Park Blvd Bldg 200, Ste 101, Jacksonville, FL 32256BD
CRD#: 124583
Palatka, 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.
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
IAR
Florida(2/21/2022)
RR
Florida(8/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/17/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
