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Christopher Peter Cook

CRD# 2212673·Registered 1992 - 1998
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher Peter Cook was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1992 - 1998. Christopher had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

34 years in the financial services industry

Current & Past Employments

NATIONWIDE ASSET MANAGEMENT CORPORATION·CRD# 42412
BD
Laguna Hills, CA
September 29, 1997 - October 7, 1998
PACIFIC COAST FINANCIAL SECURITIES, INC.·CRD# 29267
BD
March 30, 1995 - January 4, 1996
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
May 26, 1994 - March 24, 1995
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - May 31, 1994
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
October 28, 1992 - July 31, 1993
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
May 14, 1992 - October 15, 1992

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Current Firm

NA
NATIONWIDE ASSET MANAGEMENT CORPORATION

NATIONWIDE ASSET MANAGEMENT CORPORATION | NATIONWIDE CAPITAL CORPORATION

CRD#: 42412 / SEC#: 8-49850
BD
Terminated by SEC on 10/21/1999

Contact Information

Established

California since 07/31/1996

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1992About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1996About the Series 24 exam

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CRS (Client Relationship Summary)

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

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