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William Small

J. W. Cole Advisors, INC.
30 Years of Experience
Kure Beach, NC
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

William Small is a registered investment advisor at J. W. Cole Advisors, INC., based in Kure Beach, NC, with 30 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 31,247 clients with $8.2B in assets under management.

J. W. Cole Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
495 advisors
Number of Clients
31,247 clients
Average Client Portfolio
$264K average
Assets Under Management
$8.2B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M3.00%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.00%
$5.0M - $10.0M0.75%
$10M+0.50%

Fees may be negotiated or charged at a flat rate. Program fees and transaction costs may apply separately depending on the selected account type.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Kure Beach, NC

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2013
Settled
Customer Dispute
April 2013
Settled
Customer Dispute
August 2011
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William owns Holistic Wealth Planning, where he sells securities and insurance, dedicating about a quarter of his time. He also owns an eBay baseball card sales business, which is not investment-related and takes minimal time.

Employment History
Current Registrations
J. W. Cole Advisors, INC.
March 2023 - Present · 3 yrs 7 mos
J.W. Cole Financial, INC.Broker
March 2023 - Present · 3 yrs 7 mos
Previous Registrations
Securities America, INC.Broker
July 2020 - March 2023 · 2 yrs 8 mos
Securities America Advisors, INC.
July 2020 - March 2023 · 2 yrs 8 mos
Investacorp Advisory Services INC
April 2014 - July 2020 · 6 yrs 3 mos
Investacorp, INC.Broker
April 2014 - July 2020 · 6 yrs 3 mos
Summit Financial Group INC
April 2010 - April 2014 · 4 yrs
Summit Brokerage Services, INC.Broker
April 2010 - April 2014 · 4 yrs
LPL Financial Corporation
May 2006 - April 2010 · 3 yrs 11 mos
LPL Financial CorporationBroker
April 2006 - April 2010 · 4 yrs
H&r Block Financial Advisors, INC.
January 2005 - April 2006 · 1 yr 3 mos
H&r Block Financial Advisors, INC.Broker
January 2005 - April 2006 · 1 yr 3 mos
M&t Securities, INC.
July 2004 - January 2005 · 6 mos
M&t Securities, INC.Broker
October 2003 - January 2005 · 1 yr 3 mos
Quick & Reilly, INC.
September 2002 - October 2003 · 1 yr 1 mo
Quick & Reilly, INC.Broker
April 2001 - October 2003 · 2 yrs 6 mos
Summit Financial Services Group, INC.Broker
December 1999 - April 2001 · 1 yr 4 mos
T.H.E. Financial Group, LTDBroker
July 1998 - December 1999 · 1 yr 5 mos
Mutual of Omaha Investor Services, INC.Broker
October 1995 - July 1998 · 2 yrs 9 mos
State Registrations10 states
CAFLGANCNJNYOHPASCSD
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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