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Charley J. Cooper

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CRD#: 2206462
CC

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.

Charley Joseph Cooper, who also goes by Charles Joseph Cooper, Charley Joseph Cooper, Joe Cooper, was a registered financial professional .

Charley is a previously registered financial professional and started their career in finance in 1998. Charley had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Joseph Cooper | Charley Joseph Cooper | Joe Cooper

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

August 20, 2019 - February 4, 2020

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

March 1, 2017 - August 31, 2017

HARRISDIRECT LLC

RIA
CRD#: 42159
Scottsdale, AZ
Past

February 25, 2017 - August 31, 2017

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SCOTTSDALE, AZ
Past

October 21, 2015 - December 6, 2016

SILVERHAWK ASSET MANAGEMENT, LLC

RIA
CRD#: 167798
SCOTTSDALE, AZ
Past

June 27, 2008 - September 4, 2015

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
GREENWICH, CT
Past

June 19, 2008 - September 4, 2015

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
GREENWICH, CT
Past

September 29, 2005 - September 4, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ
Past

September 28, 2005 - December 31, 2006

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
PHOENIX, AZ
Past

March 10, 2004 - August 10, 2005

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

March 5, 2004 - August 10, 2005

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

September 17, 2002 - April 8, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
LOS ANGELES, CA
Past

September 13, 2002 - April 8, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 15, 1999 - August 26, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOS ANGELES, CA
Past

March 29, 1999 - August 26, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 12, 1998 - September 15, 1998

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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 65
Date: 5/21/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/1997
General Securities Representative Examination

Current Firm

XF
XNERGY FINANCIAL LLC
XNERGY FINANCIAL CORPORATION | XNERGY FINANCIAL LLC

CRD#: 144436 / SEC#: , 8-67655

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067
Mailing Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067
Phone number
(310) 552-0000
Established
California since 12/15/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
XNERGY, LLCSHAREHOLDER
JACOBS, MARK STUARTCEO2295215
KODMAN, EDWARD GRANTFINOP8163156
SOBCZAK, AMRICCHIEF COMPLIANCE OFFICER6752202
STEFANY, NIAFOUNDER5406554

Disclosures

Regulatory Event1

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.

Company Information

XNERGY FINANCIAL LLC

CRD#: 144436

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