Charles T. 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.
Charles Thomas Cook II, who also goes by Tom Cook, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - May 6, 2016
TRADINGBLOCK
January 6, 2012 - September 6, 2012
BROKERSXPRESS LLC
January 3, 2012 - September 6, 2012
BROKERSXPRESS LLC
July 27, 2007 - December 22, 2010
WELLS FARGO INVESTMENTS, LLC
July 27, 2007 - December 22, 2010
WELLS FARGO INVESTMENTS, LLC
January 16, 2002 - July 31, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - July 31, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 29, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
May 6, 1994 - June 17, 1997
INTERFIRST CAPITAL CORPORATION
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
Current Firm
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
