Dianne Fay
Dianne Fay is a CFP-designated registered investment advisor at J. W. Cole Advisors, INC., based in Tampa, FL, with 33 years of industry experience. Dianne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 29,614 clients with $7.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
J.W. Cole Advisors' investment management fees are based on a tiered schedule, meaning the percentage you pay decreases as your portfolio grows. The exact fee can be negotiated and may be a flat rate instead of tiered. The maximum fee is generally 3.00% and the minimum is 0.25%. There is also a program fee charged, which covers services provided by JWCA and the custodian of your account. You'll pay these fees quarterly, regardless of how many trades are made. Some advisors may or may not pay transaction costs.
Location
4301 Anchor Plaza Parkway, Suite 450, Tampa, FL, 33634
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dianne is the president of Fay & Associates Inc., a tax and accounting practice, dedicating about 10-20% of her time. She also works as an insurance agent and owns residential rental property, spending about 10-20% of her time and minimal time, respectively, on these activities.
Employment History
Current Registrations
J. W. Cole Advisors, INC.
J.W. Cole Financial, INC.Broker
Previous Registrations
On Investment Management CO
The O.N. Equity Sales CompanyBroker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Oneamerica Securities, INC.Broker
American United Life Insurance CompanyBroker
Ameritas Investment CORP.Broker
Signator Investors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.