Individual Firm
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JAMES FRANK ALLSTON
CRD#: 4754542
IA
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J. W. COLE ADVISORS, INC.CRD#: 112294 3001 COUNTRYSIDE BOULEVARD
CLEARWATER, FL 33761
CLEARWATER, FL 33761
J.W. COLE FINANCIAL, INC.CRD#: 124583 3001 COUNTRYSIDE BOULEVARD
CLEARWATER, FL 33761
CLEARWATER, FL 33761
0
Disclosures
20
Years of Experience
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State Registrations
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Alabama 1/14/2014
IA
Florida 8/30/2007
B
Arizona 11/6/2017
B
Illinois 8/29/2007
B
California 10/23/2024
B
Texas 5/24/2024
B
Florida 8/29/2007
SRO Registrations
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IA
Registered with this firm since 8/29/2007
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Registered with this firm since 8/29/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/19/2005 - 09/06/2007 | TAMPA, FL | |
B | 08/18/2005 - 09/06/2007 | TAMPA, FL | |
IA | 04/27/2004 - 08/19/2005 | PALM HARBOR, FL | |
B | 04/01/2004 - 08/19/2005 | OVERLAND PARK, KS |
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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.