David W. Cook

FACTOR INVESTMENT SOLUTIONS

Tucson, AZ 85750

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CRD#: 2317741

Professional summary

David William Cook, who also goes by David W Cook, is a registered financial advisor currently at FACTOR INVESTMENT SOLUTIONS, LLC located in Tucson, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David W Cook

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.

INDEPENDENT INSURANCE AGENT; NOT INVESTMENT RELATED; 5271 N CORONADO PLACE, TUCSON AZ 85750; INSURANCE AGENT; SINCE 5/2018; 4 HOURS PER MONTH DEVOTED TO THIS BUSINESS; 4 HOURS PER MONTH DURING SECURITY TRADING HOURS DEVOTED TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Cook'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

April 19, 2006 - Present

FACTOR INVESTMENT SOLUTIONS, LLC

Office #1: 5271 N. Coronado Place, Tucson, AZ 85750

RIA

CRD#: 137989

Tucson, AZ

Past

June 9, 2016 - January 3, 2018

STRATEGY ASSET MANAGERS L.L.C.

RIA

CRD#: 109939

Woodcliff Lake, NJ

Past

May 30, 2014 - March 25, 2015

STONE TORO INVESTMENT ADVISERS

RIA

CRD#: 164925

PRINCETON, NJ

Past

August 6, 2013 - April 29, 2014

ELEVAGE PARTNERS, LLC

RIA

CRD#: 158386

PRINCETON, NJ

Past

September 22, 2004 - December 31, 2005

SYMMETRY PARTNERS

RIA

CRD#: 120982

CRANBURY, NJ

Past

April 7, 1993 - March 8, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Arizona
(8/3/2021)

IAR

New Jersey
(4/19/2006)

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: 9/21/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/6/1993

General Securities Representative Examination

Current Firm

FACTOR INVESTMENT SOLUTIONS, LLC

FACTOR INVESTMENT SOLUTIONS, LLC | JIM MANLEY ASSOCIATES, LLC

CRD#: 137989 / SEC#:

Arizona

Registered Investment Advisory firm - (8/3/2021 Approved)

Florida

Registered Investment Advisory firm - (9/21/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/31/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (4/18/2006 Approved)

New York

Registered Investment Advisory firm - (9/21/2016 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2011 Terminated)

Washington

Registered Investment Advisory firm - (12/16/2014 Terminated)

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

5271 N. Coronado Place, Tucson, AZ 85750

Mailing Address

Phone number

(609) 731-2619

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

David W. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

FACTOR INVESTMENT SOLUTIONS, LLC

STRATEGY ASSET MANAGERS L.L.C.

STONE TORO INVESTMENT ADVISERS

ELEVAGE PARTNERS, LLC

SYMMETRY PARTNERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2004

Series 63

Date: 11/12/1993

Series 7

Date: 4/6/1993

Current Firm

FACTOR INVESTMENT SOLUTIONS, LLC

Contact information

Documents

Red Flags

Company Information

FACTOR INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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