CA
Courtland B. Alex
COOPER MCMANUS
Irvine, CA 92618
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CRD#: 2285309
CA
Professional summary
Courtland Blake Alex is a registered financial advisor currently at COOPER MCMANUS located in Irvine, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Irvine, California.
Courtland is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Courtland has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) COOPER FINANCIAL GROUP DBA COOPER MCMANUS, 9870 RESEARCH DR, IRVINE, CA, ADVISOR REP OF A REGISTERED INV ADV (RIA), 09/13/16, INV REL, 40/WK- 40/TRADING 2) COURTLAND ALEX, 9870 RESEARCH DRIVE, IRVINE, CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 02/22/16, INV REL, 15/MO- 15/TRADING 3) EVANS HAYMOND GROUP, LLC, Irvine CA 92618, 12/2004, OWNER, Using a Trade Name/dba, INV-REL, 1 HR/MO - 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Courtland Blake Alex'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®
NoneExperience
Current
December 8, 2016 - Present
COOPER MCMANUS
Office #1: 9870 Research Drive, Irvine, CA 92618RIA
CRD#: 111458
Irvine, CA
Current
March 27, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9870 Research Dr., Irvine, CA 92618BD
CRD#: 39543
Irvine, CA
Past
September 13, 2016 - March 27, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
IRVINE, CA
Past
December 19, 2002 - August 31, 2016
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
NEWPORT BEACH, CA
Past
January 12, 2001 - October 14, 2002
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SANTA ANA, CA
Past
November 30, 1999 - October 14, 2002
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
March 29, 1999 - December 1, 1999
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
April 21, 1998 - January 18, 2000
GATEWAY INVESTMENT SERVICES, INC.
BD
CRD#: 31153
OAK PARK, IL
Past
November 30, 1992 - April 7, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 30, 1992 - April 7, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/15/2020)
IAR
California(12/8/2016)
RR
California(3/27/2020)
RR
Florida(5/6/2022)
RR
Hawaii(9/15/2020)
RR
Idaho(9/15/2020)
RR
Illinois(9/15/2020)
RR
Kentucky(11/10/2020)
RR
Montana(9/15/2020)
RR
Nevada(9/15/2020)
RR
Tennessee(9/15/2020)
RR
Texas(9/15/2020)
RR
Washington(9/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9870 Research Drive, Irvine, CA 92618
Mailing Address
Phone number
(800) 516-5333
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,372 |
| AUM (Assets Under Management) | $ 2,560,714,584 |
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.
