Caleb J. Sturgis

J. W. COLE ADVISORS

Newberry, FL 32607

Some features on this profile are disabled

CRD#: 7834701

Professional summary

Caleb James Sturgis, who also goes by Caleb Sturgis, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Newberry, Florida and J.W. COLE FINANCIAL, INC. located in Newberry, Florida.

Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Caleb has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caleb Sturgis

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) Clarity Wealth; DBA; 119 NW 137th Drive, Suite 30, Newberry FL 32669; Investment Related; Financial Planner; Start 7/10/25; 40 hours/week, 40 hours/week during trading. (2) Insurance Sales; Not investment related; 119 NW 137th Drive, Suite 30, Newberry FL 32669; Insurance Sales; Start 1/2024; 10 hours/month, 5 hour/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Sturgis'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

July 18, 2025 - Present

J. W. COLE ADVISORS, INC.

Office #1: 119 Nw 137th Drive Suite 30, Newberry, FL 32607

RIA

CRD#: 112294

Newberry, FL

Current

July 14, 2025 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 119 Nw 137th Drive Suite 30, Newberry, FL 32669

CRD#: 124583

Newberry, FL

Past

October 30, 2024 - July 9, 2025

KOSS-OLINGER CONSULTING, LLC.

RIA

CRD#: 111855

GAINESVILLE, FL

Past

September 17, 2024 - December 31, 2024

VALMARK SECURITIES, INC.

CRD#: 31243

GAINESVILLE, FL

Past

February 29, 2024 - August 30, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Gainesville, FL

Past

February 9, 2024 - August 30, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Gainesville, 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".

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

Florida
(7/14/2025)

IAR

Florida
(7/18/2025)

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 66

Date: 2/23/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/9/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/16/2023

Securities Industry Essentials 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Kevin Suszko

WORLD INVESTMENT ADVISORS, LLC

IAR

FORT LAUDERDALE, FL

Kent Batley

BATLEY & ASSOCIATES

IAR

Estacada, OR

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Caleb J. Sturgis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Sturgis's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

KOSS-OLINGER CONSULTING, LLC.

VALMARK SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2024

Series 7TO

Date: 2/9/2024

SIE

Date: 12/16/2023

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

Similar Advisors