Thomas A. 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.
Thomas Ashley Cooper, who also goes by Ashley Thomas Cooper, T Ashley Cooper, Thoma Ashley 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 6 firms and has passed the Series 63, SIE, Series 7, Series 5, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2012 - February 22, 2017
SEAPORT GLOBAL SECURITIES LLC
October 1, 1997 - October 7, 1998
BANC OF AMERICA SECURITIES LLC
February 3, 1997 - October 1, 1997
MONTGOMERY SECURITIES
January 1, 1995 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
December 23, 1994 - February 18, 1997
LEHMAN BROTHERS INC.
August 24, 1982 - January 11, 1995
SALOMON BROTHERS 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
Exams
Series 5
Date: 12/1/1982
Interest Rate Options ExaminationSeries 8
Date: 11/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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