William M. Cooke
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.
William Minella Cooke was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 4 firms and has passed the SIE, Series 79 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
June 5, 2013 - December 31, 2023
TAGLICH BROTHERS, INC.
September 18, 2001 - June 5, 2007
BROOKS, HOUGHTON SECURITIES, INC.
September 19, 1997 - March 16, 2001
ABN AMRO INCORPORATED
September 25, 1996 - August 4, 1997
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
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
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 45,136,551 |
Disclosures
| Regulatory Event | 8 |
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.
