David E. Cook

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CRD#: 2503250

Professional summary

David Edward Cook was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, David had worked at 7 firms, which includes INSIGHT SECURITIES INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, GROVE POINT INVESTMENTS LLC, MM ASCEND LIFE INVESTOR SERVICES LLC, BETHANY FINANCIAL ADVISORY INC., ROUND HILL SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

David E Cook

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 17, 2003 - April 8, 2004

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

Past

March 19, 2003 - April 15, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

April 10, 2002 - July 31, 2002

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

July 12, 2001 - August 20, 2001

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

December 11, 1998 - July 27, 2001

BETHANY FINANCIAL ADVISORY, INC.

CRD#: 45545

WARREN, OH

Past

May 29, 1998 - December 31, 1998

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

Past

November 22, 1996 - May 27, 1998

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 14, 1994 - April 30, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/19/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/13/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/1997

General Securities Principal Examination

Current Firm

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

600 Central Ave Suite 293, Highland Park, IL 60035

Mailing Address

600 Central Ave Suite 293, Highland Park, IL 60035

Phone number

(224) 632-4700

Established

Delaware since 11/12/1970

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
INTELLIGENICS, INC.	HOLDING COMPANY/STOCKHOLDER
GAAFAR, OMAR JAMES	COO	4916775
KIM, JAMES J	CCO	6040592
LEGASPY, CARLOS JAVIER	PRINCIPAL, PRESIDENT, CEO	2148751
MAKULA, MICHAEL JOSEPH MR.	CFO, FINOP	4643441

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 94,216,934

Disclosures

Regulatory Event	6
Arbitration	1
Bond	5

Red Flags

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Advisor Monitoring

Firm Stability Insights

David E. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

GROVE POINT INVESTMENTS, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

BETHANY FINANCIAL ADVISORY, INC.

INSIGHT SECURITIES, INC.

ROUND HILL SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INSIGHT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/1995

Series 63

Date: 1/12/1995

Series 7

Date: 12/13/1994

Series 24

Date: 9/9/1997

Current Firm

INSIGHT SECURITIES, INC.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INSIGHT SECURITIES, INC.

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