Philip K. Cooke

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CRD#: 1850607

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.

Philip Kent Cooke was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1993. Philip had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

December 16, 2022 - October 20, 2023

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

April 14, 2021 - March 15, 2022

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

August 4, 2014 - October 1, 2015

FORWARD MANAGEMENT, LLC

RIA

CRD#: 109193

SAN FRANCISCO, CA

Past

July 22, 2014 - September 2, 2015

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SAN FRANCISCO, CA

Past

June 6, 2011 - May 20, 2013

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

SAN FRANCISCO, CA

Past

August 2, 2010 - May 20, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

SAN FRANCISCO, CA

Past

August 31, 2009 - August 3, 2010

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

April 10, 2007 - February 20, 2009

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

June 20, 2000 - February 15, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 29, 1998 - June 29, 2000

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

June 14, 1994 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

May 3, 1993 - June 13, 1994

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/29/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/13/2007

General Securities Sales Supervisor - Options Module Examination

Current Firm

BRADLEY WOODS & CO. LTD.

BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

845 Third Ave, Suite 1703, New York, NY 10022

Mailing Address

845 Third Ave, Suite 1703, New York, NY 10022

Phone number

(212) 826-9191

Established

Delaware since 11/01/2004

Firm type

Corporation

Fiscal year end

February

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RIPP, DANIEL S	CEO, CFO	1398164
SHEA, PATRICK OFARRELL	CHIEF COMPLIANCE OFFICER	838154
YEE, DEREK BRIAN	COO	6911274

Disclosures

Regulatory Event

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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Philip K. Cooke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRADLEY WOODS & CO. LTD.

FORWARD MANAGEMENT, LLC

ALPS DISTRIBUTORS, INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

CITIZENS JMP SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY & CO. LLC

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2011

Series 63

Date: 4/26/1993

Series 7

Date: 4/19/1993

Series 10

Date: 11/29/2007

Series 9

Date: 9/13/2007

Current Firm

BRADLEY WOODS & CO. LTD.

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BRADLEY WOODS & CO. LTD.

TRUST BUT VERIFY

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