Stephen M. Cooper

BAY CAPITAL

Tampa, FL 33609

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CRD#: 1306622

Professional summary

Stephen Mark Cooper, who also goes by Steve Cooper, is a registered financial advisor currently at BAY CAPITAL located in Tampa, Florida and CALTON & ASSOCIATES, INC. located in Tampa, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 5, Series 15, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve 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) - RIA

Click below to view Stephen Mark Cooper'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®

None

Experience

Current

August 3, 1992 - Present

BAY CAPITAL

Office #1: 4100 W. Kennedy Boulevard Suite 305, Tampa, FL 33609

RIA

CRD#: 113776

Tampa, FL

Current

June 14, 1996 - Present

CALTON & ASSOCIATES, INC.

Office #1: 4100 West Kennedy Blvd. Suite 305, Tampa, FL 33609

RIA

CRD#: 20999

Tampa, FL

Past

November 20, 1989 - December 8, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1989 - June 17, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 19, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 26, 1984 - April 26, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

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.

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

IAR

Florida
(8/3/1992)

Florida
(6/14/1996)

Georgia
(5/13/2022)

Kentucky
(1/3/2003)

IAR

Louisiana
(11/12/2024)

Ohio
(6/3/2014)

IAR

Texas
(9/17/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 2/19/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 12/12/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BAY CAPITAL

BAY CAPITAL | STEPHEN M. COOPER | BAY CAPITAL, REGISTERED INVESTMENT ADVISOR

CRD#: 113776 / SEC#: 801-40965

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Florida

Registered Investment Advisory firm - (6/27/2012 Approved)

Louisiana

Registered Investment Advisory firm - (11/12/2024 Approved)

Texas

Registered Investment Advisory firm - (5/29/2012 Conditional Restricted)

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).

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Contact information

Main Address

4100 W. Kennedy Boulevard Suite 305, Tampa, FL 33609

Mailing Address

Phone number

(813) 286-1553

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	236
AUM (Assets Under Management)	$ 45,273,874

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen M. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Mark Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/1994

Series 63

Date: 10/25/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 2/19/1985

Series 15

Date: 12/12/1984

Series 7

Date: 10/20/1984

Series 24

Date: 3/7/1990

FINRA

Current Firm

BAY CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAY CAPITAL

TRUST BUT VERIFY

Contact information

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