Individual Firm
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DAVID PATRICK LEATHERS
CRD#: 2253342
IA
B
J. W. COLE ADVISORS, INC.CRD#: 112294 327 Dahlonega Street
Ste 1001
Cumming, GA 30040
Ste 1001
Cumming, GA 30040
J.W. COLE FINANCIAL, INC.CRD#: 124583 327 Dahlonega Street
Ste 1001
Cumming, GA 30040
Ste 1001
Cumming, GA 30040
View By:
1/2/2013
Customer Dispute
Settled
State Registrations
B
Alabama 11/30/2023
B
Missouri 11/27/2023
B
Arizona 12/6/2023
B
New York 12/14/2023
B
Arkansas 12/1/2023
B
North Carolina 12/1/2023
B
Florida 11/28/2023
B
Oregon 11/28/2023
B
Georgia 11/30/2023
B
Pennsylvania 11/28/2023
IA
Georgia 11/30/2023
B
South Carolina 11/30/2023
B
Illinois 1/24/2024
B
Tennessee 11/27/2023
B
Massachusetts 11/27/2023
B
Texas 11/27/2023
B
Mississippi 12/1/2023
B
Washington 11/30/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/30/2023
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Registered with this firm since 11/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/03/2016 - 11/29/2023 | CUMMING, GA | |
B | 10/03/2016 - 11/29/2023 | CUMMING, GA | |
IA | 12/05/2014 - 10/03/2016 | CUMMING, GA | |
B | 12/05/2014 - 10/03/2016 | CUMMING, GA | |
IA | 02/14/2011 - 12/17/2014 | CUMMING, GA | |
B | 02/14/2011 - 12/17/2014 | CUMMING, GA | |
IA | 06/30/2006 - 02/11/2011 | CUMMING, GA | |
B | 06/30/2006 - 02/11/2011 | CUMMING, GA | |
IA | 04/17/2003 - 07/19/2006 | CUMMING, GA | |
B | 02/18/1997 - 07/19/2006 | CUMMING, GA | |
IA | 04/16/2003 - 07/03/2006 | CUMMING, GA | |
B | 01/31/1997 - 02/20/1997 | SCOTTSDALE, AZ | |
B | 03/06/1996 - 01/31/1997 | ATLANTA, GA | |
B | 11/18/1994 - 04/02/1996 | ST. PETERSBURG, FL | |
B | 07/11/1994 - 10/31/1994 | ST. PETERSBURG, FL | |
B | 03/30/1994 - 05/24/1994 | NORCROSS, GA | |
B | 02/18/1993 - 04/08/1994 | DENVER, CO | |
B | 10/11/1992 - 11/19/1992 | NEW YORK, NY | |
B | 07/24/1992 - 09/22/1992 | NEW YORK, NY |
CUMMING, GA
06/30/2006 - 02/11/2011
NORCROSS, GA
03/30/1994 - 05/24/1994
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.