Adrienne E. Cooper

HAMILTON-BATES INVESTMENT RESEARCH

CARDIFF, CA

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CRD#: 2306107

Professional summary

Adrienne E Cooper is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in Cardiff, California.

Adrienne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Adrienne has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 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) SAN DIEGO PADRES; NOT INVESTMENT RELATED; 100 PARK BLVD, SAN DIEGO, CA 92101; NATURE OF BUSINESS: PROFESSIONAL BASEBALL; TITLE: GUEST SERVICE REPRESENTATIVE; START DATE: 02/2008; HOURS/MONTH: VARIES DURING BASEBALL SEASON; HOURS DURING TRADING HOURS: 0-30 HOURS/WEEK; DUTIES: GUEST SERVICES.----------------- (2) ADRIENNE E. COOPER REAL ESTATE BROKER; NOT INVESTMENT RELATED; 1941 FREDA LANE, CARDIFF, CA 92007; NATURE OF BUSINESS: REAL ESTATE; TITLE: BROKER; START DATE: 1992; HOURS/MONTH: ZERO; HOURS DURING TRADING HOURS: ZERO; DUTIES: REAL ESTATE BROKERAGE.----------- (3) ELITE SHOW SERVICES; NOT INVESTMENT RELATED; 2878 CAMINO DEL RIO S, SUITE 260, SAN DIEGO, CA 92108; NATURE OF BUSINESS: SUPERVISE GATES AT THE SD CHARGERS GAMES; START DATE: 2008; HOURS/MONTH: VARIES; HOURS DURING TRADING HOURS: VARIES; DUTIES: SUPERVISE GATES AT CHARGERS GAMES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adrienne E Cooper'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

January 14, 2015 - Present

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RIA

CRD#: 114127

CARDIFF, CA

Past

February 11, 2000 - December 31, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

CARDIFF BY THE SEA, CA

Past

April 11, 1994 - February 14, 2000

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

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
(1/14/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 7/25/2008

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Adrienne E. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adrienne E Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1999

Series 63

Date: 4/8/1994

SIE

Date: 12/31/2014

Series 22

Date: 7/25/2008

Series 6

Date: 4/8/1994

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

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