TrueAdvisor
TrueAdvisor
DC
DC

Dorothea Cole

J. W. Cole Advisors, INC.
25 Years of Experience
Trinity, FL
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Dorothea Cole is a registered investment advisor at J. W. Cole Advisors, INC., based in Trinity, FL, with 25 years of industry experience. Dorothea 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

8147 Copernicus Way, Suite 103, Trinity, FL, 34655

Get directions

History

Regulatory History (4)
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.
Judgment / Lien
May 2022
Judgment / Lien
April 2017
Judgment / Lien
November 2016
Judgment / Lien
April 2011
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Dorothea is the Managing Partner and Owner of Compass Consulting & Financial, a financial planning firm, operating as an Independent Insurance Agent. She dedicates nearly full-time hours to this activity.

Employment History
Current Registrations
J. W. Cole Advisors, INC.
May 2019 - Present · 7 yrs 5 mos
J.W. Cole Financial, INC.Broker
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
Royal Alliance Associates, INC.
November 2018 - February 2019 · 3 mos
Royal Alliance Associates, INC.Broker
November 2018 - February 2019 · 3 mos
Signator Investors, INC.Broker
May 2016 - November 2018 · 2 yrs 6 mos
Signator Investors, INC.
May 2016 - November 2018 · 2 yrs 6 mos
Transamerica Financial Advisors, INC.
December 2009 - May 2016 · 6 yrs 5 mos
Transamerica Financial Advisors, INCBroker
December 2009 - May 2016 · 6 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2006 - January 2010 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2006 - January 2010 · 3 yrs 8 mos
Banc One Securities Corporation
August 2001 - May 2006 · 4 yrs 9 mos
Banc One Securities CorporationBroker
August 2001 - May 2006 · 4 yrs 9 mos
Atlas Brokerage Company, L.P.Broker
April 2001 - July 2001 · 3 mos
State Registrations21 states
ALCACTFLGAILINMAMINCNHNJNYOHPASCTXVTWAWIWV
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.
More Advisors
More financial advisors in Trinity, FL →All financial advisors in Florida →