Full text of J.W. COLE FINANCIAL, INC.'s X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | OMB APPROVAL | |-------------|---------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | | Estimated average burden | | | hours per response 12.00 | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-65698 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | AND ENDING 12/31/2018<br>REPORT FOR THE PERIOD BEGINNING 1/1/2018 | | | |----------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: J.W. Cole Financial Inc. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 4301 Anchor Plaza Parkway Suite #450 | | | | | | (No. and Street) | | | | Tampa | FL | | 33634 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Gary R. Haight (813) 337-0516 | | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Skoda Minotti CPA | | | | | | (Name - if individual, state last, first, middle name) | | | | 201 East Kennedy Blvd Suite #1500 Tampa | | FL | 33602 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant<br>Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent ma nust be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(c)(2) > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION  \*\* For conditions of confident…Read the full text as markdown