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Scott A. Cooper

ALLIANCE-ONE INVESTMENTS
Tulsa, OK 74116
Some features on this profile are disabled
CRD#: 2374806
SC

Professional summary

Scott Arthur Cooper, who also goes by Scott Arthur Cooper, Scott Cooper, is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Arthur Cooper | Scott Cooper

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Arthur 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

October 29, 2024 - Present

ALLIANCE-ONE INVESTMENTS, LLC

Office #1: 4000 N Mingo Rd, Tulsa, OK 74116
BD
CRD#: 286025
Tulsa, OK
Past

May 3, 2022 - November 3, 2022

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

May 3, 2019 - February 15, 2022

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

October 3, 2016 - July 18, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO
Past

September 2, 2014 - January 22, 2015

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
ENGLEWOOD, CO
Past

October 4, 2013 - September 2, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
ENGLEWOOD, CO
Past

January 9, 2008 - February 13, 2009

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

January 5, 2004 - March 14, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

January 13, 1997 - December 31, 2003

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

July 21, 1993 - August 2, 1994

LUTHERAN BROTHERHOOD SECURITIES CORP.

BD
CRD#: 4205
MINNEAPOLIS, MN

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
RR
Series 63
Date: 11/25/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/23/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/7/2014
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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.

Company Information

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025Tulsa, OK 74116

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