Richard A. Darrow

J. W. COLE ADVISORS

Bakersfield, CA 93306

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CRD#: 702546

Professional summary

Richard Alan Darrow, who also goes by Rick Darrow, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Bakersfield, California and J.W. COLE FINANCIAL, INC. located in Flagstaff, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Richard has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Darrow

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) A) DARROW/NORDAHL TRUST B) CO-TRUSTEE C) START: 2001 (2) A) DARROW FAMILY TRUST B) CO-TRUSTEE C) START: 2002

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Darrow'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

May 10, 2013 - Present

J. W. COLE ADVISORS, INC.

Office #1: 4238 Green Hills Street, Bakersfield, CA 93306

RIA

CRD#: 112294

Bakersfield, CA

Current

May 10, 2013 - Present

J.W. COLE FINANCIAL, INC.

Office #2: 4238 Green Hills St, Bakersfield, CA 93306

CRD#: 124583

Flagstaff, AZ

Past

June 2, 2008 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

BAKERSFIELD, CA

Past

June 2, 2008 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

BAKERSFIELD, CA

Past

April 1, 2002 - June 5, 2008

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

BAKERSFIELD, CA

Past

January 20, 1995 - June 5, 2008

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BAKERSFIELD, CA

Past

December 16, 1994 - January 9, 1995

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Past

May 31, 1989 - December 16, 1994

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

January 19, 1987 - May 31, 1989

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

SAN DIEGO, CA

Past

April 5, 1983 - January 29, 1987

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

December 21, 1979 - May 2, 1983

MORGAN STANLEY DW INC.

CRD#: 7556

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

Arizona
(5/10/2013)

IAR

Arizona
(7/25/2024)

California
(5/10/2013)

IAR

California
(5/10/2013)

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: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/26/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/28/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/1988

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)

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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

Richard A. Darrow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Darrow's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

FIRST AFFILIATED SECURITIES, INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 1/22/1980

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1979

Series 27

Date: 10/26/1988

Series 4

Date: 4/28/1988

Series 24

Date: 4/8/1988

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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