Tracy G. 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.
Tracy Gene Cooper was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1984. Tracy had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2012 - January 5, 2023
EDWARD JONES
February 15, 2012 - January 5, 2023
EDWARD JONES
May 18, 2011 - October 17, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 16, 2011 - October 17, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 15, 2010 - March 8, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 12, 2010 - March 8, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 11, 2008 - May 12, 2010
CHASE INVESTMENT SERVICES CORP.
May 13, 2008 - May 12, 2010
CHASE INVESTMENT SERVICES CORP.
April 16, 2007 - May 8, 2008
PRUCO SECURITIES, LLC.
December 20, 2005 - January 24, 2007
TOUCHSTONE ADVISORS INC
July 11, 2005 - February 5, 2007
TOUCHSTONE SECURITIES, INC.
March 11, 2003 - October 5, 2004
VP DISTRIBUTORS LLC
January 18, 2002 - September 6, 2003
WS GRIFFITH SECURITIES, INC.
May 19, 1999 - December 31, 2001
MML INVESTORS SERVICES, LLC
June 2, 1998 - May 19, 1999
DONAHUE SECURITIES, INC.
August 14, 1996 - June 3, 1998
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 17, 1989 - August 12, 1996
AFSG SECURITIES CORPORATION
March 23, 1984 - July 11, 1987
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
