Keith B. 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.
Keith Bernard Cooper MR., who also goes by Keith Bernard Cooper, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1982. Keith had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2011 - March 6, 2015
LOOP CAPITAL MARKETS LLC
November 11, 2009 - April 12, 2011
CASTLEOAK SECURITIES, LP
July 18, 2005 - June 8, 2007
WELLS FARGO SECURITIES, LLC
October 3, 1996 - July 21, 2005
DEUTSCHE BANK SECURITIES INC.
April 12, 1995 - September 24, 1996
CITIGROUP GLOBAL MARKETS INC.
January 22, 1982 - February 13, 1995
GOLDMAN SACHS & CO. LLC
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
Series 5
Date: 3/25/1982
Interest Rate Options ExaminationCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
