CC
Charles L. Cooper
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CRD#: 1107574
CC
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.
Charles Lewis Cooper JR, who also goes by Charles Lewis Jr Cooper, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Lewis Jr 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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 1250 Capital of Texas Highway, Building 2 Suite 125 Austin TX 78746 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: charles l cooper jr Investment Related: Yes Address: one lincoln center suite 360 oakbrook terrace IL 60181 Nature of Business: Insurance Position, Title or Relationship: Owner Start Date: 1/1/2003 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: getting proposals,meet witth client help select proper solutionBusiness Name: Bluelake Wealth Advisors Investment Related: Yes Address: 745 McClintock Dr Suite 120 Burr Ridge IL 60527 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered rep Start Date: 9/15/2017 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: See and service clients
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®
NoneExperience
Past
June 15, 2022 - August 2, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CINCINNATI, OH
Past
April 21, 2016 - June 8, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Burr Ridge, IL
Past
November 1, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Burr ridge, IL
Past
November 1, 2004 - June 8, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Burr ridge, IL
Past
October 31, 2003 - November 2, 2004
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
September 5, 1997 - November 3, 2004
THE ADVISORS GROUP, INC.
RIA
CRD#: 14035
OAKBROOK TERRACE, IL
Past
August 1, 1995 - October 31, 2003
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
August 31, 1994 - November 28, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 31, 1994 - November 28, 1995
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
April 13, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 13, 1983 - September 30, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1295 State Street, Springfield, MA 01111-0001
Mailing Address
1295 State Street, Springfield, MA 01111-0001
Phone number
(413) 737-8400
Established
Massachusetts since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
7,056
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
