AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
LC

Lawrence Scott Cooper

CRD# 1336689·Registered 1985 - 2016
Previously Registered: Being a previously registered professional could mean that Lawrence 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.

Professional Summary

Lawrence Scott Cooper, who also goes by Larry Cooper, was a registered financial advisor. Lawrence was a previously registered financial professional and started their career in finance 1985 - 2016. Lawrence had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 28 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Larry Cooper

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

41 years in the financial services industry

Current & Past Employments

CFS SECURITIES, INC.·CRD# 46201
BD
Hamden, CT
December 23, 1998 - October 10, 2016
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
July 6, 1993 - September 26, 1994
COOPER FINANCIAL SERVICES, INC.·CRD# 104671
RIA
Hamden, CT
January 25, 1991 - October 7, 2016
INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403
BD
November 24, 1989 - January 1, 1990
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
November 19, 1989 - January 7, 1999
INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403
BD
May 23, 1985 - November 19, 1989

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

CS
CFS SECURITIES, INC.

CFS SECURITIES, INC. | VERITAS, INC.

CRD#: 46201 / SEC#: 8-51330
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

1000 Bridgeport Avenue Suite 308, Shelton, CT 06484

Mailing Address

1000 Bridgeport Avenue Suite 308, Shelton, CT 06484

Phone Number

(203) 248-1972

Established

Connecticut since 08/21/1998

Firm Type

Corporation

Fiscal Year End

September

Firm Size

Small

FINRA licenses (10 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BUTLER, MICHAEL JAMESPRESIDENT, FINOP, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER6318239
BUTLER, STEVEN GREGORYVICE PRESIDENT7410569

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1985About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1985About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 2000About the Series 53 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Oct 1998About the Series 28 exam

Series 24 — General Securities Principal Examination

Passed Apr 1993About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
LC
Follow Lawrence
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required