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RC

Robert A. Cooke

BROXTON CAPITAL ADVISORS
LOS ANGELES, CA 90024
Some features on this profile are disabled
CRD#: 2240107
RC

Professional summary

Robert Allen Cooke JR, who also goes by Allen Cooke, Robert Allen Jr Cooke, is a registered financial advisor currently at BROXTON CAPITAL ADVISORS located in Los Angeles, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 9 firms and has passed the Series 65, Series 63, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Allen Cooke | Robert Allen Jr Cooke

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) - RIA

Click below to view Robert Allen Cooke JR's CRS (Customer Relationship Summary).

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

Current

June 15, 2012 - Present

BROXTON CAPITAL ADVISORS

Office #1: 1063 Gayley Ave, Los Angeles, CA 90024
RIA
CRD#: 136914
LOS ANGELES, CA
Past

February 26, 2015 - April 7, 2021

HUDSON COOPER ASSET MANAGEMENT, INC.

RIA
CRD#: 159455
LOS ANGELES, CA
Past

February 13, 2007 - December 31, 2011

NATALLIANCE SECURITIES, LLC

BD
CRD#: 39455
LOS ANGELES, CA
Past

November 8, 2005 - June 4, 2012

BROXTON CAPITAL ADVISORS

RIA
CRD#: 136914
LOS ANGELES, CA
Past

February 25, 2002 - September 9, 2005

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
PASADENA, CA
Past

February 11, 2002 - February 25, 2002

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

November 18, 1999 - February 11, 2002

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

January 2, 1998 - November 16, 1999

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA
Past

July 8, 1996 - December 31, 1997

DABNEY/RESNICK/IMPERIAL, LLC

BD
CRD#: 24367
BEVERLY HILLS, CA
Past

May 26, 1995 - July 16, 1996

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

October 18, 1994 - January 25, 1995

DABNEY/RESNICK/IMPERIAL, LLC

BD
CRD#: 24367
BEVERLY HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(6/15/2012)
IAR
Puerto Rico
(11/9/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/8/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 4/1/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 4/1/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/17/1994
General Securities Representative Examination

Current Firm

BC
BROXTON CAPITAL ADVISORS
BROXTON CAPITAL ADVISORS | WESTWOOD ASSET MANAGEMENT, LLC | COOKE, ROOT & STEAD ASSET MANAGEMENT, LLC | BROXTON CAPITAL ADVISORS LLC

CRD#: 136914 / SEC#: 801-64689

RIA
Registered Investment Advisory firm - (8/28/2012 Terminated)
Arizona
Registered Investment Advisory firm - (11/19/2021 Terminated)
California
Registered Investment Advisory firm - (6/15/2012 Approved)
Puerto Rico
Registered Investment Advisory firm - (11/5/2015 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
151 Calle De San Francisco Suite 200, Old San Juan, PR 00901-1659
Mailing Address
Phone number
(310) 208-2151
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts106
AUM (Assets Under Management)$ 30,739,954

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

BROXTON CAPITAL ADVISORS

CRD#: 136914Los Angeles, CA 90024

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