Brent A. Cooper
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.
Brent Alan Cooper was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1994. Brent had worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, Series 62, SIE, Series 7, Series 6, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2022 - September 17, 2025
UBS FINANCIAL SERVICES INC.
May 19, 2022 - September 17, 2025
UBS FINANCIAL SERVICES INC.
June 1, 2015 - April 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2015 - April 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2012 - March 31, 2015
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 28, 2010 - September 2, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
June 1, 2010 - June 4, 2010
INVESCO DISTRIBUTORS, INC.
May 3, 2004 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
November 15, 2000 - May 5, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1994 - August 18, 1994
THE GREAT-WEST LIFE ASSURANCE COMPANY
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
