Charles R. Cooper
Professional summary
Charles R. Cooper, who also goes by Charles R Cooper, is a registered financial professional currently at LASALLE ST SECURITIES, L.L.C. located in Columbus, Ohio.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1982. Charles has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles R. Cooper's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2023 - Present
LASALLE ST SECURITIES, L.L.C.
Office #1: 172 East State Street Suite 303, Columbus, OH 43215November 29, 2018 - August 8, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
March 5, 2002 - December 31, 2018
NORTHEAST SECURITIES, LLC
October 26, 2001 - March 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 13, 1998 - October 23, 2001
FINANCIAL ASSET MANAGEMENT, INC.
June 18, 1984 - September 23, 1998
UBS FINANCIAL SERVICES INC.
January 5, 1982 - July 27, 1984
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2023)
(7/26/2023)
(7/26/2023)
(7/26/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamFINRA
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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