David Sylvan Cooper | Financial Professional | Brentwood, Tennessee | REALTA INVESTMENT ADVISORS, INC

Professional summary

David Sylvan Cooper is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Brentwood, Tennessee and REALTA EQUITIES, INC. located in Wilmington, Delaware.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Aliases

None

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) - RIA

Click below to view David Sylvan Cooper's CRS (Customer Relationship Summary).

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

November 6, 2020 - Present

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

BRENTWOOD, TN

Current

November 6, 2020 - Present

REALTA EQUITIES, INC.

Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801

BD

CRD#: 23769

WILMINGTON, DE

Past

September 1, 2016 - November 11, 2020

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

NASHVILLE, TN

Past

November 10, 2014 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

NASHVILLE, TN

Past

November 10, 2014 - November 11, 2020

TRUIST INVESTMENT SERVICES, INC.

BD

CRD#: 17499

NASHVILLE, TN

Past

November 30, 2007 - November 13, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BRENTWOOD, TN

Past

November 30, 2007 - November 13, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

BRENTWOOD, TN

Past

April 15, 2003 - December 7, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ENCINO, CA

Past

October 25, 2001 - December 7, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

ENCINO, CA

Past

March 1, 2001 - October 1, 2001

MANULIFE WOOD LOGAN, INC.

BD

CRD#: 19177

STAMFORD, CT

Past

May 17, 1998 - March 5, 2001

WELLS FARGO SECURITIES INC.

BD

CRD#: 17438

SAN FRANCISCO, CA

Past

July 5, 1995 - May 6, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

Past

March 28, 1995 - May 11, 1995

THE BOSTON GROUP

BD

CRD#: 37652

LOS ANGELES, CA

Past

December 22, 1993 - March 28, 1995

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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).

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Alabama
(5/8/2024)

IAR

Alabama
(5/8/2024)

RR

California
(11/6/2020)

RR

Idaho
(11/11/2021)

RR

Oregon
(12/15/2022)

RR

Tennessee
(11/6/2020)

IAR

Tennessee
(11/10/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 31

Date: 3/14/1994

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 12/21/1993

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

Red Flags

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Advisor Monitoring

Firm Stability Insights

David S. Cooper

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Sylvan Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA EQUITIES, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MANULIFE WOOD LOGAN, INC.

WELLS FARGO SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THE BOSTON GROUP

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/1995

Series 63

Date: 1/21/1994

SIE

Date: 10/1/2018

Series 31

Date: 3/14/1994

Series 7

Date: 12/21/1993

FINRA

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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