Individual Firm
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David William Dalton
CRD#: 4918224
IA
B
J. W. COLE ADVISORS, INC.CRD#: 112294 1202 NE MCLAIN ROAD
BENTONVILLE, AR 72712
BENTONVILLE, AR 72712
J.W. COLE FINANCIAL, INC.CRD#: 124583 1202 NE MCLAIN ROAD
BENTONVILLE, AR 72712
BENTONVILLE, AR 72712
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6/12/2017
Regulatory
Final
5/2/2017
Employment Separation After Allegations
State Registrations
B
Arkansas 9/21/2017
B
Missouri 11/7/2017
IA
Arkansas 9/21/2017
B
North Carolina 5/25/2021
B
Illinois 3/4/2021
B
Oklahoma 4/9/2020
B
Minnesota 8/5/2021
B
Texas 12/20/2017
B
Mississippi 1/6/2025
SRO Registrations
B
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IA
Registered with this firm since 9/21/2017
B
Registered with this firm since 6/13/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2008 - 05/31/2017 | Bella Vista, AR | |
B | 05/24/2005 - 05/31/2017 | Bella Vista, AR |
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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.