Dorothy F. Cooney
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.
Dorothy Farber Cooney, who also goes by Dorothy Jill Cooney, Dorothy J Farber, Dorothy Jill Farber, Nee Farber, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1988. Dorothy had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2000 - December 31, 2015
HIGHMARK CAPITAL MANAGEMENT, INC.
January 12, 1998 - August 14, 2007
U.S. BANCORP ADVISORS, LLC
June 21, 1996 - October 16, 1997
ABN AMRO SECURITIES LLC
October 1, 1994 - February 28, 1995
PERSHING LLC
July 13, 1988 - August 29, 1994
NUVEEN SECURITIES, LLC
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
Current Firm
HIGHMARK CAPITAL MANAGEMENT, INC.
CRD#: 109550 / SEC#: 801-55718
Contact information
Regulatory assets under management
| Total Number of Accounts | 502 |
| AUM (Assets Under Management) | $ 8,662,353,458 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/28/2023 | ||
| 01/06/2023 | ||
| 12/21/2021 |
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.
