JC
John W. Cooley
COLORADO FINANCIAL SERVICE
Las Vegas, NV
Some features on this profile are disabled
CRD#: 1193065
JC
Professional summary
John William Cooley, who also goes by Bill Cooley, is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in Las Vegas, Nevada.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Cooley
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) SUCCESS CONTINUING EDUCATION / 2 CORPORATE PLAZA DRIVE #100 NEWPORT BEACH, CA 92660. / PRESIDENT / NOT INV RELATED / OWNER / SINCE JANUARY 2002 / 160 HRS PER MONTH / 30 TRADING HRS PER MONTH. (2) BILL COOLEY REAL ESTATE / 215 EMERALD BAY LAGUNA BEACH CA 2651 / PERSONAL REAL ESTATE MANAGEMENT / NOT INVESTMENT RELATED / OWNER / DATE OF INCEPTION 2000 / 5 HOURS PER MONTH DURING TRADING HOURS. (3)BILL COOLEY CONSULTING / 215 EMERALD BAY LAGUNA BEACH CA 92651/ NOT INVESTMENT RELATED / CONSULTING FOR BUSINESSES / INCEPTION DATE 1996 / OWNER / 5 HOURS PER MONTH DURING TRADING HOURS. (4) INSURANCE ACTIVITIES THROUGH KAISER PERMANENTE (5) BC AUTO GROUP / WHOLE SALE AUTO DEALER / 215 EMERALD BAY, LAGUNA BEACH, CA 92651 / NO HOURS WORKED DURING TRADING HOURS / HOBBY (5) LQ RRENTALS / PERSONAL REAL ESTATE MANAGEMENT / NOT INVESTMENT RELATED / OWNER / 0 HOURS PER MONTH DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view John William Cooley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John William Cooley's CRS (Customer Relationship Summary).
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
Current
April 13, 2018 - Present
COLORADO FINANCIAL SERVICE CORPORATION
RIA
BD
CRD#: 104343
Las Vegas, NV
Current
April 12, 2018 - Present
COLORADO FINANCIAL SERVICE CORPORATION
Office #1: 188 Inverness Drive West Suite 100, Centennial, CO 80112RIA
BD
CRD#: 104343
Centennial, CO
Past
March 19, 2014 - April 27, 2016
COLORADO FINANCIAL SERVICE CORPORATION
RIA
CRD#: 104343
LAGUNA BEACH, CA
Past
September 10, 2012 - May 30, 2013
COLORADO FINANCIAL SERVICE CORPORATION
RIA
CRD#: 104343
LAGUNA BEACH, CA
Past
January 18, 2011 - April 27, 2016
COLORADO FINANCIAL SERVICE CORPORATION
BD
CRD#: 104343
CENTENNIAL, CO
Past
October 14, 2009 - October 21, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
RENTON, WA
Past
October 22, 2004 - March 26, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 10, 2003 - November 1, 2004
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
February 11, 1999 - December 2, 2002
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
May 6, 1996 - October 14, 1997
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
July 7, 1994 - February 17, 1995
ROBERT SCOTT SECURITIES, INC.
BD
CRD#: 28180
Past
August 12, 1992 - December 31, 1992
BROKERS INVESTMENT CORPORATION
BD
CRD#: 16607
CANOGA PARK, CA
Past
August 9, 1990 - April 2, 1991
COAST FINANCIAL ADVISORS, INC.
BD
CRD#: 6249
MISSION VIEJO, CA
Past
January 3, 1989 - March 6, 1990
CROWELL, WEEDON & CO.
BD
CRD#: 193
LOS ANGELES, CA
Past
September 18, 1987 - December 21, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
May 12, 1986 - October 15, 1987
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
September 22, 1983 - May 16, 1986
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/13/2018)
IAR
California(4/13/2018)
RR
Nevada(1/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 6/5/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 5/25/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COLORADO FINANCIAL SERVICE CORPORATION
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
CRD#: 104343 / SEC#: 801-76716, 8-52817
RIA
Registered Investment Advisory firm - SEC (8/8/2013 Terminated)Alaska
Registered Investment Advisory firm - SEC (5/7/2024 Approved)Arizona
Registered Investment Advisory firm - SEC (9/25/2017 Approved)California
Registered Investment Advisory firm - SEC (7/30/2013 Approved)Colorado
Registered Investment Advisory firm - SEC (7/24/2013 Approved)Florida
Registered Investment Advisory firm - SEC (4/23/2013 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/14/2023 Approved)Maryland
Registered Investment Advisory firm - SEC (3/24/2022 Terminated)Montana
Registered Investment Advisory firm - SEC (2/3/2017 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/29/2013 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/4/2023 Approved)Ohio
Registered Investment Advisory firm - SEC (5/19/2017 Approved)Oregon
Registered Investment Advisory firm - SEC (6/4/2021 Approved)South Carolina
Registered Investment Advisory firm - SEC (1/3/2018 Approved)Texas
Registered Investment Advisory firm - SEC (7/14/2023 Approved)Washington
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Wyoming
Registered Investment Advisory firm - SEC (1/31/2025 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112
Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112
Phone number
(303) 962-7267
Established
Colorado since 06/13/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
38
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
