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Nicholas J. Farrell

J. W. COLE ADVISORS
Warren, OH
CRD#: 8103594
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NF
Nicholas J FarrellJ. W. COLE ADVISORS

Professional summary

Nicholas J Farrell is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Warren, Ohio and J.W. COLE FINANCIAL, INC. located in Warren, Ohio.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Nicholas has worked at 3 firms and has passed the Series 66, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas J Farrell'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

March 24, 2026 - Present

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Warren, OH
Current

January 29, 2026 - Present

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Warren, OH
Past

September 12, 2025 - October 6, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
CANTON, OH

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
Ohio
(3/24/2026)
IAR
Ohio
(3/24/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/14/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2026
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/12/2025
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2025
Securities Industry Essentials Examination
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)
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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 Accounts29,614
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.

Company Information

J. W. COLE ADVISORS, INC.

CRD#: 112294Warren, OH

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