Michele A. Cook
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.
Michele Ann Cook, who also goes by Michele A Cook, Michele Cook, Michele A Marinelli, Michele Ann Marinelli, Michele A Venditti, Michele Ann Venditti, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1993. Michele had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2023 - January 12, 2024
CHARLES SCHWAB & CO., INC.
January 13, 2023 - January 12, 2024
CHARLES SCHWAB & CO., INC.
March 31, 2016 - August 9, 2022
CHARLES SCHWAB & CO., INC.
March 30, 2016 - August 9, 2022
CHARLES SCHWAB & CO., INC.
October 3, 2014 - February 12, 2016
SCHWAB WEALTH ADVISORY, INC.
October 1, 2014 - February 12, 2016
CHARLES SCHWAB & CO., INC.
November 8, 2012 - July 22, 2014
CHARLES SCHWAB & CO., INC.
November 2, 2012 - July 22, 2014
CHARLES SCHWAB & CO., INC.
July 13, 2010 - September 13, 2011
CHARLES SCHWAB & CO., INC.
March 10, 2010 - September 13, 2011
CHARLES SCHWAB & CO., INC.
February 11, 2008 - April 3, 2009
FIDELITY BROKERAGE SERVICES LLC
May 2, 2007 - November 1, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
July 6, 2004 - October 31, 2006
ATLAS SECURITIES, LLC
June 22, 2001 - March 5, 2004
MML DISTRIBUTORS, LLC
May 5, 2000 - March 16, 2001
VP DISTRIBUTORS LLC
July 23, 1999 - April 7, 2000
ADVEST, INC.
July 8, 1993 - August 8, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 8/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
