Dianne L. Cooper
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dianne Louise Cooper was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 1982. Dianne had worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - July 29, 2014
CADARET, GRANT & CO., INC.
October 13, 1999 - October 1, 2012
FSC SECURITIES CORPORATION
October 29, 1996 - September 14, 1999
TOWER SQUARE SECURITIES, INC.
March 25, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1982 - April 24, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
