KW
Keith J. Willey
J. W. COLE ADVISORS
Lake Elmo, MN 55042
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CRD#: 7196175
KW
Professional summary
Keith Joseph Willey, who also goes by Keith Willey, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Lake Elmo, Minnesota and J.W. COLE FINANCIAL, INC. located in Lake Elmo, Minnesota.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Keith has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith Willey
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) New Horizons BFS LLC; DBA; 8647 Eagle Point Blvd., Suite 1, Lake Elmo MN 55042; Investment Related; Financial Advisor/Partner; Providing Financial services advice to current and prospective clients; Start 3/1/25; 160 hours/month during trading. (2) McCoy's Copper Pint; Not investment related; 1710 Crossing Blvd, Shakoppee, MN 55739; Server; Take care of guests and be knowledgeable about the food we have available; Start 1/1/24; 0 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Joseph Willey'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
August 31, 2021 - Present
J. W. COLE ADVISORS, INC.
Office #1: 8647 Eagle Point Blvd. Ste 1, Lake Elmo, MN 55042RIA
CRD#: 112294
Lake Elmo, MN
Current
August 31, 2021 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 8647 Eagle Point Blvd Ste 1, Lake Elmo, MN 55042BD
CRD#: 124583
Lake Elmo, MN
Past
August 19, 2021 - August 30, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MINNEAPOLIS, MN
Past
July 9, 2020 - August 30, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MINNEAPOLIS, MN
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
RR
Minnesota(8/31/2021)
IAR
Minnesota(8/31/2021)
RR
Nevada(6/5/2024)
RR
New York(8/31/2021)
RR
Ohio(8/31/2021)
RR
Wisconsin(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/9/2020
General Securities 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
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.
