Anthony M. Lofaso

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CRD#: 711251

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.

Anthony Michael Lofaso, CFP®, ChFC®, CLU®, who also goes by Tony Lofaso, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1980. Anthony had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Lofaso

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) INSURANCE SALES THROUGH VARIOUS FIXED COMPANIES. (2) WEST PALM BEACH ROTARY CLUB, WEST PALM BEACH, FL. BOARD MEMBER, 7/1/2004 TO 06/30/2013, .4 HRS. MO. (3) LEADERSHIP PALM BEACH COUNTY, WEST PALM BEACH, FL. PAST PRESIDENT, 8/1/1995 TO PRESENT, 1 HR. MO. PALM BEACH . (4) PALM BEACH BUSINESS PLAZA CONDO ASSN. WEST PALM BEACH, FL. PRESIDENT OF BOARD, 5/1/2007, 2 HRS. MO TO PRESENT. (5) DBA: PALM PLANNING GROUP (LOFASO ENTERPRISES, INC.) 5652 CORPORATE WAY, WEST PALM BEACH, FL. 33407, PRESIDENT, JULY 1986 TO PRESENT, 40 HRS/MO. (6) Palm Beach County Parks Foundation; Not investment related; 2700 6th Ave South, Lake Worth, FL 33461; Board Member/treasurer; Advisory and fundraising for Palm Beach County Parks. Help identify needs of the community within county parks and find financial resources; Start 9/1/2023 3 hours/month during trading. (7) Center for Financial Literacy; Not investment related; 901 S. Flager Drive, West Palm Beach, FL 33416; Financial literacy and pro bono financial counseling; Board Member; Start 10/2/2024; 3 hours/month during trading.

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®

CFP^®

Certified Financial Planner

Start date: 2001

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Past

March 5, 2014 - December 31, 2024

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

WEST PALM BEACH, FL

Past

February 28, 2014 - December 31, 2024

J.W. COLE FINANCIAL, INC.

CRD#: 124583

WEST PALM BEACH, FL

Past

May 19, 1985 - March 14, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WEST PALM BEACH, FL

Past

June 20, 1984 - April 13, 1989

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Past

October 20, 1980 - March 14, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

WEST PALM BEACH, FL

Past

July 1, 1980 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/18/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1997

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: 9/9/1999

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/27/1980

Registered Representative Examination

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

Anthony M. Lofaso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

EQUITABLE ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/1997

Series 63

Date: 5/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1999

Series 1

Date: 6/27/1980

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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