Curtis W. Cooper
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.
Curtis Weston Cooper, who also goes by Wes Cooper, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1991. Curtis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - June 17, 2019
IMA WEALTH
July 1, 2015 - June 17, 2019
IMA WEALTH
October 2, 2013 - June 23, 2015
LPL FINANCIAL LLC
September 27, 2013 - June 23, 2015
LPL FINANCIAL LLC
October 3, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
October 3, 2008 - June 22, 2012
J.P. MORGAN SECURITIES LLC
September 17, 2008 - October 6, 2008
J.P. MORGAN SECURITIES INC.
July 14, 2006 - May 19, 2008
CHASE INVESTMENT SERVICES CORP.
July 10, 2006 - May 19, 2008
CHASE INVESTMENT SERVICES CORP.
September 21, 1993 - August 16, 2004
CHARLES SCHWAB & CO., INC.
December 3, 1991 - March 12, 1992
RHODES SECURITIES, INC.
December 3, 1991 - December 23, 1992
POWELL & SATTERFIELD, INC.
Primary Firm SEC Registration
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
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: 1/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
Contact information
SEC notice filing (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory assets under management
| Total Number of Accounts | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
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.
