Duke P. Cope

COPE PRIVATE WEALTH

BIRMINGHAM, AL 35209

Some features on this profile are disabled

CRD#: 1643007

Professional summary

Duke Paterson Cope, CFP®, who also goes by Duke Paterson Cope, Pat Cope, is a registered financial advisor currently at COPE PRIVATE WEALTH located in Birmingham, Alabama.

Duke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Duke has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duke Paterson Cope | Pat Cope

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.

INSURANCE AGENT- INVESTMENT RELATED-AT REPORTED BUSINESS LOCATION(S), INSURANCE SALES, AGENT, 2021, DEVOTES NOT MORE THAN 30% OF AGENTS TIME DURING WORKING HRS/MO DURING TRADING HOURS; SALE OF VARIOUS INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duke Paterson Cope'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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

November 17, 2020 - Present

COPE PRIVATE WEALTH

Office #1: 2000 Southbridge Parkway Suite 625, Birmingham, AL 35209

RIA

CRD#: 309351

BIRMINGHAM, AL

Past

November 15, 2018 - November 17, 2020

RFG ADVISORY, LLC

RIA

CRD#: 158401

Birmingham, AL

Past

November 15, 2018 - November 16, 2020

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Birmingham, AL

Past

April 23, 2015 - November 15, 2018

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

Birmingham, AL

Past

April 17, 2015 - November 15, 2018

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

Birmingham, AL

Past

February 13, 2013 - April 22, 2015

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BIRMINGHAM, AL

Past

February 13, 2013 - April 22, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BIRMINGHAM, AL

Past

May 7, 1997 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

BIRMINGHAM, AL

Past

October 17, 1995 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

BIRMINGHAM, AL

Past

April 26, 1993 - October 23, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 7, 1992 - May 18, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 13, 1991 - May 18, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 15, 1990 - January 20, 1992

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

October 19, 1988 - October 22, 1990

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

June 18, 1987 - October 31, 1988

GEORGE M. WOOD & COMPANY, INC.

CRD#: 3799

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.

Highlighted states indicate IAR registrations

IAR

Alabama
(11/17/2020)

IAR

Texas
(1/5/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/16/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Current Firm

COPE PRIVATE WEALTH

COPE PRIVATE WEALTH | D. PATERSON COPE WEALTH MANAGEMENT LLC

CRD#: 309351 / SEC#:

Alabama

Registered Investment Advisory firm - (11/17/2020 Approved)

Texas

Registered Investment Advisory firm - (1/5/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2000 Southbridge Parkway Suite 625, Birmingham, AL 35209

Mailing Address

Phone number

(205) 223-3625

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	250
AUM (Assets Under Management)	$ 75,000,000

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Duke P. Cope

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duke Paterson Cope's CRS (Customer Relationship Summary).

Certified licenses

Experience

RFG ADVISORY, LLC

PRIVATE CLIENT SERVICES, LLC

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

J.C. BRADFORD & CO.

GEORGE M. WOOD & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/1992

Series 63

Date: 6/10/1987

SIE

Date: 10/1/2018

Series 3

Date: 4/16/1992

Series 7

Date: 5/16/1987

Current Firm

COPE PRIVATE WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COPE PRIVATE WEALTH

TRUST BUT VERIFY

Similar Advisors