David G. Cooke
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.
David Greaves Cooke, who also goes by Dave Cooke, David G Cooke, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2023 - May 19, 2024
TD AMERITRADE, INC.
February 13, 2019 - July 26, 2024
CHARLES SCHWAB & CO., INC.
January 14, 2019 - July 26, 2024
CHARLES SCHWAB & CO., INC.
February 28, 2017 - November 19, 2018
DELTA ASSET MANAGEMENT, LLC
April 23, 2014 - May 11, 2015
USAA FINANCIAL PLANNING SERVICES
April 23, 2014 - May 11, 2015
USAA FINANCIAL ADVISORS, INC.
December 19, 2002 - March 28, 2014
CHARLES SCHWAB & CO., INC.
October 11, 1995 - March 28, 2014
CHARLES SCHWAB & CO., INC.
June 27, 1995 - September 27, 1995
AMERISTAR CAPITAL MARKETS, INC.
April 6, 1994 - May 17, 1995
NBC CAPITAL MARKETS GROUP, INC.
July 12, 1993 - April 11, 1994
NATIONSSECURITIES
January 4, 1991 - July 12, 1993
MORGAN STANLEY DW INC.
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
Series 8
Date: 9/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
