Sean C. Cooper
Professional summary
Sean Charles Cooper was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Sean had worked at 4 firms, which includes WELLS FARGO SECURITIES INC., LPL FINANCIAL LLC, MORGAN STANLEY DW INC., FRANKLIN/TEMPLETON DISTRIBUTORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 1997 - September 4, 1998
WELLS FARGO SECURITIES INC.
April 26, 1996 - October 16, 1997
LPL FINANCIAL LLC
July 30, 1993 - March 1, 1995
MORGAN STANLEY DW INC.
May 12, 1993 - July 7, 1993
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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
Current Firm
WELLS FARGO SECURITIES INC.
CRD#: 17438 / SEC#: , 8-35225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAGEN MACKENZIE GROUP, INC. | DIRECT OWNER | |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/FINANCIAL OPERATIONS OFFICER & TREASURER | 1523151 |
| BRONSTEIN, GREGORY PHILLIP | SENIOR VICE PRESIDENT & DIRECTOR | 2276699 |
| DAGGS, CHARLES WILLARD III | DIRECTOR | 59782 |
| FREEMAN, SHELLEY STEUER | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1262649 |
| KAUFMAN, LEAH MARIE | SROP | 2221956 |
| MOORADIAN, DENNIS JACK | CHAIRMAN, PRESIDENT, CHIEF OPERATIONS OFFICER, DIRECTOR, & MUNICIPAL SECURITIES PRINCIPAL | 338698 |
| ROSS, PATRICIA ANN | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, CROP | 717926 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 11 |
Red Flags
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