Broker Check

Our Partners

We are an independent firm, but we are not alone in providing you world-class service. We want to take a moment to introduce you to our partners. We were diligent in our research when selecting these partners, and we continue to feel confident in the value they bring to you, our clients.

J.W. Cole Financial, Inc. - Our Broker/Dealer
J.W. Cole Advisors, Inc. - Our Registered Investment Advisor

  • Committed to helping advisors provide first-class, personalized service
  • Have relationships with large institutions to provide their advisors with access to tools and products needed to implement plans for their clients
  • Monitors the activities of advisors to ensure client wishes are carried out in compliance with applicable laws and regulations
  • Opens, approves and monitors your account(s), including determining suitability of investments recommended to you
  • Maintains proper books and records of all services they perform in connection with your account

National Financial Services, LLC - Our Custodian

  • A Fidelity Investments Company
  • Committed to the proper custody ("safekeeping") of client assets
  • Provides efficient execution, clearance, and settlement of securities transactions
  • Sends clients periodic statements and confirmations of all activity in their account
  • Extends margin credit upon approval
  • Provides online access to account balances, transactions, history and statements
  • Maintains proper books and records of all services they perform in connection with your account