Thomas J. Cooper

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CRD#: 1038603

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.

Thomas James Cooper, CFP®, who also goes by Tom Cooper, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Cooper

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) FL INSURANCE AGENT LIFE, HEALTH AND MEDICARE INSURANCE. NON-INVESTMENT RELATED. APPROXIMATELY 10% TIME SPENT. (2) ECONOMIC RECOVERY GROUP, LLC, SOLICITOR NON-INVESTMENT RELATED APPROXIMATELY 10% TIME SPENT. (3) Name of outside business: True Freedom Health Care; Is the business investment related: No; Description of the business: Home care services for seniors; Position Title: Representative; Responsibilities Duties: Educate people about the options for Long term care alternatives ; Start date with business: 2020-02-26; Hours devoted to business during trading hours: 2; Hours devoted to business outside trading hours: 4; (4) Thomas Cooper is an agent at the Rosenthal Insurance agency, Life insurance; Is the business investment related: No; Location of the business: 33183; Description of the business: Insurance agency; Responsibilities Duties: sales; Start date with business: 2020-07-01; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: .03; Contact person at the organization: 0robert Rosenthal; Website address for the organization: www.therrosenthalageny.com.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1983

Experience

Past

July 2, 2013 - June 11, 2025

NAMCOA

RIA

CRD#: 133978

Ocala, FL

Past

January 9, 2012 - May 2, 2013

GLOBAL WEALTH CONSULTANTS, LLC

RIA

CRD#: 144221

NAPLES, FL

Past

September 16, 2011 - November 4, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

NAPLES, FL

Past

September 15, 2011 - November 4, 2011

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

NAPLES, FL

Past

April 20, 2011 - August 19, 2011

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

ESTERO, FL

Past

April 19, 2011 - August 19, 2011

PARK AVENUE SECURITIES LLC

CRD#: 46173

ESTERO, FL

Past

April 30, 2010 - April 12, 2011

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NAPLES, FL

Past

July 25, 2002 - April 15, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NAPLES, FL

Past

March 18, 1996 - April 12, 2011

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NAPLES, FL

Past

August 16, 1984 - March 4, 1996

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

April 6, 1982 - September 4, 1984

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/2/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/1985

General Securities Principal Examination

Current Firm

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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Contact information

Main Address

107 Kilson Drive Suite 206, Mooresville, NC 28117

Mailing Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Phone number

(239) 593-5525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/31/2025)

ADV WRAP BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 312,332,592

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBAL WEALTH CONSULTANTS, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

INVESTACORP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/1990

Series 7

Date: 3/20/1983

Series 24

Date: 2/21/1985

Current Firm

NAMCOA

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAMCOA

TRUST BUT VERIFY

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