Kathy A. Cook
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.
Kathy Ann Eddy Cook, CFP®, who also goes by Katharine Ann Eddy Cook, Kathy Ann Cook, Katharine Eddy, Kathy Ann Eddy, Kathy Eddy Cook, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1988. Kathy had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
February 5, 2013 - March 24, 2014
CITY NATIONAL ROCHDALE
January 24, 2013 - March 24, 2014
CNR SECURITIES, LLC
February 21, 1992 - December 31, 1992
ASSOCIATED SECURITIES CORP.
April 20, 1988 - February 13, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
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
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
