Jeffrey M. 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.
Jeffrey Michael Cooper, who also goes by Jeff Cooper, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - July 12, 2018
FIS BROKERAGE & SECURITIES SERVICES LLC
January 23, 2012 - December 31, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
November 29, 2010 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
November 5, 2007 - November 2, 2010
TRADEWEB LLC
March 29, 2004 - January 11, 2006
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
February 9, 2004 - March 9, 2004
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 16, 1995 - October 2, 2003
UBS CAPITAL MARKETS L.P.
November 19, 1993 - September 13, 1995
CROWN FINANCIAL GROUP, INC.
August 17, 1993 - December 9, 1993
CITIGROUP GLOBAL MARKETS INC.
July 21, 1993 - August 16, 1993
LEHMAN BROTHERS INC.
March 13, 1992 - July 22, 1993
HIBBARD BROWN & CO., 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 55
Date: 1/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
