James M. Cooper

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CRD#: 1199829

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.

James Michael Cooper, who also goes by Mike Cooper, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike 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.

The advisor shows no other business activity.

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®

None

Experience

Past

November 4, 2015 - September 3, 2019

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

Memphis, TN

Past

December 18, 2014 - May 4, 2015

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MEMPHIS, TN

Past

December 10, 2014 - May 4, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

MEMPHIS, TN

Past

June 2, 2009 - January 18, 2013

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

BARLETT, TN

Past

June 22, 2007 - January 18, 2013

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

BARLETT, TN

Past

March 11, 2004 - June 29, 2007

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MEMPHIS, TN

Past

October 4, 2000 - June 29, 2007

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MEMPHIS, TN

Past

June 23, 1999 - October 3, 2000

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 17, 1996 - June 3, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 17, 1992 - December 21, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 22, 1992 - May 14, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

January 22, 1992 - May 14, 1992

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

September 19, 1991 - December 19, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 19, 1991 - December 19, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 2, 1987 - March 15, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

February 28, 1986 - February 7, 1987

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

Past

May 24, 1985 - November 5, 1985

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

October 30, 1984 - April 8, 1985

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

January 3, 1984 - March 15, 1991

PRUCO SECURITIES, LLC.

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".

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 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

IAR

Series 65

Date: 8/23/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/12/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/24/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 Terminated)

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Contact information

Main Address

6 Cadillac Dr. Suite 310, Brentwood, TN 37027

Mailing Address

Phone number

(615) 340-0801

Established

Firm type

Fiscal year end

# of Employees

110

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VCM ADV PART 2A (3/28/2024)

Regulatory assets under management

Total Number of Accounts	6,111
AUM (Assets Under Management)	$ 787,466,707

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

James M. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

NEW ENGLAND SECURITIES

UBS FINANCIAL SERVICES INC.

PRUCO SECURITIES, LLC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AMERICAN GENERAL SECURITIES INCORPORATED

PRUCO SECURITIES, LLC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VIRTUE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/1996

Series 63

Date: 12/29/1983

SIE

Date: 5/4/2015

Series 3

Date: 9/12/1996

Series 7

Date: 7/24/1996

Series 6

Date: 12/29/1983

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIRTUE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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