Donna L. Cooper

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CRD#: 2361711

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.

Donna Lynne Cooper, who also goes by Donna Lynne Cooper, Donna Lynne Cooper-fincham, Donna L Fincham, Donna L Toms, Donna Lynne Toms, was a registered financial professional .

Donna is a previously registered financial professional and started their career in finance in 1995. Donna had worked at 9 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Donna Lynne Cooper | Donna Lynne Cooper-Fincham | Donna L Fincham | Donna L Toms | Donna Lynne Toms

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.

ADVISER COMPLIANCE ASSOCIATES, LLC DBA ACA GROUP ("ACA"), investment-related, 1345 Avenue of the Americas, Second Floor, New York, NY 10019, Title: Director, Start Date: June 2022 - present, 40+ hrs. a week, Duties: Providing compliance consulting & OCCO services and related support to various financial firms. (Refer to U-4 "Employment History" for details on ACA employment history through acquisitions & current/prior OCCO positions and. Note: ComplianceWorks, Inc. was acquired by Foreside Financial Group in 12/2021, that was subsequently acquired by ACA Global in 2022. Start date w/ACA via multiple firm acquisitions = 06/2017.)

Blog Corner

CRS (Client Relationship Summary)

LAUREL WEALTH ADVISORS, INC.

RIA

CRD#: 157139

Locust Dale, VA

Past

September 11, 2017 - September 19, 2017

THE FORBES SECURITIES GROUP LLC

CRD#: 288142

GREENWOOD VILLAGE, CO

Past

June 9, 2004 - September 27, 2016

BUTLER CAPITAL PARTNERS

CRD#: 114242

GLEN ALLEN, VA

Past

March 17, 2003 - June 11, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHARLOTTESVILLE, VA

Past

June 5, 1998 - June 11, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 6, 1995 - June 5, 1998

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Series 10

Date: 10/18/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/16/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

WORTHNET, LLC

CRD#: 333488 / SEC#: 801-131609

Georgia

Registered Investment Advisory firm - (8/29/2025 Approved)

Maryland

Registered Investment Advisory firm - (6/9/2025 Approved)

Texas

Registered Investment Advisory firm - (10/14/2025 Conditional Restricted)

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Contact information

Main Address

16 W. Madison Street, Baltimore, MD 21201

Mailing Address

Phone number

(667) 312-3548

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Red Flags

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Donna L. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIBERTY WEALTH MANAGEMENT, LLC

SUNDANCE BAY

LAUREL WEALTH ADVISORS, INC.

WINDWARD CAPITAL INC.

LAUREL WEALTH ADVISORS, INC.

THE FORBES SECURITIES GROUP LLC

BUTLER CAPITAL PARTNERS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

FIRST UNION CAPITAL MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/2019

Series 65

Date: 3/13/2003

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 9/19/2017

Series 31

Date: 3/31/2008

Series 7

Date: 7/5/1995

Series 24

Date: 6/30/2004

Series 10

Date: 10/18/1999

Series 9

Date: 9/16/1999

Current Firm

WORTHNET, LLC

Contact information

Documents

Red Flags

Company Information

WORTHNET, LLC

TRUST BUT VERIFY

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