Steven E. 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.
Steven Edward Cooper was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 6 firms and has passed the Series 63, SIE, Series 72 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2013 - September 1, 2015
EXECUTION ACCESS, LLC
February 5, 2002 - June 22, 2012
BROKERTEC AMERICAS LLC
December 18, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
December 18, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
December 18, 1989 - June 5, 1998
LEHMAN BROTHERS INC.
November 25, 1983 - July 26, 1989
UBS FINANCIAL SERVICES 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 72
Date: 2/4/2002
Government Securities Representative ExaminationCurrent Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
