Michael G. Cooke
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.
Michael George Cooke, who also goes by George Cooke, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 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
November 6, 2015 - March 12, 2021
TOCQUEVILLE ASSET MANAGEMENT LP
June 16, 2015 - December 23, 2020
TOCQUEVILLE SECURITIES L.P.
June 20, 2012 - July 19, 2013
CANACCORD GENUITY LLC
June 18, 2012 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
October 13, 2006 - June 14, 2012
BAADER HELVEA INC.
April 22, 2004 - August 21, 2006
EXANE, INC.
January 28, 2000 - April 15, 2004
BNP PARIBAS SECURITIES CORP.
November 30, 1998 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
June 2, 1997 - March 17, 1999
BNP PARIBAS BROKERAGE SERVICES, INC.
August 23, 1995 - March 12, 1997
CREDIT AGRICOLE SECURITIES (USA) INC.
April 26, 1995 - July 26, 1995
BARCLAYS DE ZOETE WEDD INCORPORATED
September 24, 1992 - February 6, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 1989 - May 29, 1992
SCHRODER & CO. INC.
January 13, 1984 - January 25, 1984
CAZENOVE INCORPORATED
January 15, 1983 - October 18, 1988
CAZENOVE INCORPORATED
Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
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 8
Date: 5/5/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
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.
