CRD #124583 · FINRA BrokerCheck + SEC IAPD

J.W. Cole Financial, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.W. Cole Financial, Inc. ranks #2,920 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #54 of 251 on the same disclosure sort used on the state browse page. J.W. Cole Financial, Inc. carries 2 BrokerCheck disclosures across 311 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
311
branch offices
2
disclosures
#2,920 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 124583 J.W. Cole Financial, Inc.

J.W. Cole Financial, Inc. · Grade B · 2 disc · 0.01/office · Large firm

  • CRD 124583
  • GRADE B
  • DISC 2
  • REG 1
  • ARB 1
  • CIV 0
  • BRANCH 311
  • PER-OFF 0.01
  • RANK #2,920 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Creativeone Securities, LLC (0.01 disc/office)

Creativeone Securities,…0.01Packerland Brokerage Se…0.01IFP Securities, LLC0.01J.W. Cole Financial… (this)0.01
Disclosures per office among large firm peers (lower is cleaner)

J.W. Cole Financial, Inc. ranks #2,920 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

311 offices

FINRA: Large firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

1 action

50% of all disclosures

Disclosures per office

0.01 per office

2 ÷ 311 offices

J.W. Cole Financial, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 1
Civil Events 0
Total 2

Counts for J.W. Cole Financial, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 1 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Tampa, FL
CRD Number
124583

Lower disclosures per office

J.W. Cole Financial, Inc. in the heavier-disclosure third

J.W. Cole Financial, Inc. carries 2 BrokerCheck disclosures across 311 branch offices - a heavier-third raw book among graded firms (#2,920 of 20,055). Mix is 1 regulatory, 1 arbitration, and 0 civil (50% regulator share).

J.W. Cole Financial, Inc. runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of J.W. Cole Financial, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Florida cohort · 0.44× state average

J.W. Cole Financial, Inc. tracks near the Florida disclosure average

J.W. Cole Financial, Inc. reports 2 BrokerCheck disclosures, about 0.44× the Florida average of 4.6 across 251 graded firms.

In Florida, 152 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does J.W. Cole Financial, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.W. Cole Financial, Inc. ranks #2,920 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #54 of 251 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for J.W. Cole Financial, Inc.?
A grade of B reflects J.W. Cole Financial, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 2 total disclosures across 311 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does J.W. Cole Financial, Inc. have?
J.W. Cole Financial, Inc. has 2 total FINRA disclosures, including 1 regulatory event, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is J.W. Cole Financial, Inc.?
J.W. Cole Financial, Inc. operates 311 branch offices and is classified by FINRA as a large firm, registered in FL (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify J.W. Cole Financial, Inc.'s disciplinary record?
You can verify J.W. Cole Financial, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 124583. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid J.W. Cole Financial, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. J.W. Cole Financial, Inc. carries 2 disclosures across 311 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for J.W. Cole Financial, Inc., both outside FL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.