Maureen B. 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.
Maureen Boland Cooper, who also goes by Maureen Baland Cooper, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1984. Maureen had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2007 - December 31, 2020
FIDUCIARY INVESTMENT ADVISORS, LLC
July 9, 2004 - May 15, 2006
UBS FINANCIAL SERVICES INC.
January 28, 1995 - May 15, 2006
UBS FINANCIAL SERVICES INC.
February 20, 1985 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 21, 1984 - March 4, 1985
LEHMAN BROTHERS 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 8
Date: 11/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDUCIARY INVESTMENT ADVISORS, LLC
CRD#: 140675 / SEC#: 801-66762
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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