Eric K. Cooper

CETERA INVESTMENT ADVISERS LLC

MUNCIE, IN 47304

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CRD#: 1433186

Professional summary

Eric Kent Cooper, who also goes by Rick Cooper, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Muncie, Indiana and CETERA WEALTH SERVICES, LLC located in Muncie, Indiana.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Eric has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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.

BALL STATE UNIVERSITY POSITION: Employee NATURE: Service Industry INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1998 ADDRESS: , Muncie IN , United States DESCRIPTION: Employee COMPREHENSIVE FINANCIAL SERVICES INC POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/01/2002 ADDRESS: , Muncie IN , United States DESCRIPTION: Agent/Broker SHOEMAKER FINANCIAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2019 ADDRESS: 2176 West St, Ste 100, Germantown TN 38138, United States DESCRIPTION: Fixed Insurance Sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Kent Cooper's CRS (Customer Relationship Summary).

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 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3593 North Briarwood Ln, Muncie, IN 47304

RIA

CRD#: 105644

MUNCIE, IN

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3593 North Briarwood Lane, Muncie, IN 47304

CRD#: 13572

Muncie, IN

Past

August 4, 2015 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

MUNCIE, IN

Past

December 10, 1992 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

MUNCIE, IN

Past

January 20, 1992 - December 15, 1992

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

SEATTLE, WA

Past

June 20, 1989 - December 31, 1991

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

April 10, 1989 - June 10, 1989

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 9, 1988 - April 10, 1989

AMERICAN PACIFIC SECURITIES CORPORATION

CRD#: 5003

Past

December 20, 1985 - November 8, 1988

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

Florida
(8/11/2023)

Indiana
(8/10/2023)

IAR

Indiana
(8/10/2023)

Michigan
(8/10/2023)

Ohio
(8/10/2023)

South Carolina
(9/18/2024)

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: 7/20/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/19/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/11/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Eric K. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Kent Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

RELIASTAR FINANCIAL MARKETING CORP.

SII INVESTMENTS, INC.

CETERA WEALTH SERVICES, LLC

AMERICAN PACIFIC SECURITIES CORPORATION

BMA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2015

Series 63

Date: 12/19/1985

SIE

Date: 10/1/2018

Series 7

Date: 3/3/2014

Series 6

Date: 12/19/1985

Series 26

Date: 10/11/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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