SC
Stephen M. Cooper
BAY CAPITAL
Tampa, FL 33609
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CRD#: 1306622
SC
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.
No. 1) Name of Business: Bay Capital/Investment Advisory Business. Investment related. Address: 4100 W Kennedy Blvd., Suite 305, Tampa, FL 33609. Nature of Business: DBA for Investment Advisory Business. Position/Title/Relationship: Owner. Start Date: 06/14/1996. Hours per month: 100. Hours per month during Securities trading hours: 60%. Duties/Responsibilities: I am the Compliance Officer and the registered person for the firm. Duties include investment committee and operations of the firm. We manage money for individuals and for institutions.
No. 2) Name of Business: Diocese of St. Petersburg Pension Plan Board. Investment related. Address: 6363 9th Ave. North, St. Petersburg, FL 33710. Nature of Business: Board for defined benefit plan for diocese of St. Petersburg. Position/Title/Relationship: Director. Start Date: 2013. Hours per month: 3-6. Hours per month during Securities trading hours: less than 1%. Duties/Responsibilities: Advise diocese on investments and performance managed by outside manager plus advice on operational aspects of the pension plan.
No. 3) Name of Business: Stephen Cooper Insurance. Investment related. Address: 4100 W Kennedy Blvd., Suite 305, Tampa, FL 33609. Nature of Business: Term, Life, Fixed Annuities. Position/Title/Relationship: Occasional insurance business outside of Calton. Start Date: 06/14/1996. Hours per month: 1. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: Occasional term life or variable annuity purchase for clients as an accommodation.
No. 4) Name of Business: The Tampa Interbay Rotary Club. Non-Investment related. Address: 1610 N Tampa St., Tampa, FL 33602. Nature of Business: Voluntary civic organization leadership role. Position/Title/Relationship: Director. Start Date: 06/14/1996. Hours per month: 4-8. Hours per month during Securities trading hours: 2%. Duties/Responsibilities: Running club activities, arranging speakers, attending luncheon meetings as well as monthly board meetings. There are no products or services provided by the club other than charitable fundraisers.
No. 5) Name of Business: Air Animal Pet Movers, DBA Air Animal, Inc. Non-Investment related. Address: 4120 W Cypress St., Tampa, FL 33607. Nature of Business: Serve on the board of directors in a voluntary position to assist the owner with business strategies. Position/Title/Relationship: Director. Hours per month: 5. Hours per month during Securities trading hours: 3%. Duties/Responsibilities: Attend board meetings as a sounding board on business strategy. Air Animal relocates pets worldwide for mainly corporate moves.
No. 6) Name of Business: Stephen M Cooper, DBA Bay Capital. Investment related. Address: 4100 W. Kennedy Blvd., Suite 305, Tampa, FL 33609. Nature of Business: we manage client portfolios using rule-based strategies that encompass very conservative income programs to more growth oriented strategies and vary the portfolio weighing's based on client time horizons, goals and risk tolerance. We employ mutual funds and ETFs as the investment vehicles. We may use outside money managers to advise or manage portions of client portfolios. Position/Title/Relationship: Owner. Start Date: 04/16/1989. Hours per month: 80. Hours per month during Securities trading hours: 4. Duties/Responsibilities: Manage the income portion of client portfolios. Monitor any outside money manager activity. Handle regulatory requirements with the help of a consultant. Oversee the day to day operations and record keeping.
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®
NoneExperience
Current
August 3, 1992 - Present
BAY CAPITAL
Office #1: 4100 W. Kennedy Boulevard Suite 305, Tampa, FL 33609RIA
CRD#: 113776
Tampa, FL
Current
June 14, 1996 - Present
CALTON & ASSOCIATES, INC.
Office #1: 4100 West Kennedy Blvd. Suite 305, Tampa, FL 33609RIA
BD
CRD#: 20999
Tampa, FL
Past
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 19, 1989 - June 17, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 19, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 26, 1984 - April 26, 1989
THOMSON MCKINNON SECURITIES INC.
BD
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.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
IAR
Florida(8/3/1992)
RR
Florida(6/14/1996)
RR
Georgia(5/13/2022)
RR
Kentucky(1/3/2003)
IAR
Louisiana(11/12/2024)
RR
Ohio(6/3/2014)
IAR
Texas(9/17/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 2/19/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 12/12/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BC
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)Upgrade to AdvisorCheck Premium
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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
3
Regulatory assets under management
| Total Number of Accounts | 236 |
| AUM (Assets Under Management) | $ 45,273,874 |
Red Flags
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Company Information
BAY CAPITAL
CRD#: 113776Tampa, FL 33609TRUST BUT VERIFY
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Contact information
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