David O. Cooper
Professional summary
Being a previously registered professional could mean that this person 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.
David Owen Cooper, who also goes by David O Cooper, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2014 - October 6, 2015
OCTAGON AMERICA LIMITED
February 22, 2011 - August 26, 2011
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
April 10, 2006 - June 22, 2009
WELLINGTON WEST CAPITAL MARKETS (USA) INC.
October 15, 2004 - March 15, 2006
DESJARDINS SECURITIES INTERNATIONAL INC.
September 3, 2002 - March 22, 2004
DEUTSCHE BANK SECURITIES INC.
November 27, 1996 - May 20, 2002
MACQUARIE CAPITAL (USA) INC.
March 8, 1993 - August 3, 1995
UBS FINANCIAL SERVICES INC.
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
OCTAGON AMERICA LIMITED
CRD#: 148089 / SEC#: , 8-67962
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCTAGON CAPITAL PARTNERS | SHAREHOLDER COMMON SHARES | |
| OBSBAUM, FREDRIC MICHAEL | FINOP/CCO/PRESIDENT | 1160811 |
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.
