CF
Cooley K. Fales
JEFFERIES INVESTMENT ADVISERS LLC
ATLANTA, GA
Some features on this profile are disabled
CRD#: 2764859
CF
Professional summary
Cooley Keep Fales, who also goes by Fales Keep Cooley Keep, is a registered financial advisor currently at JEFFERIES INVESTMENT ADVISERS LLC located in Atlanta, Georgia and JEFFERIES LLC located in New York, New York.
Cooley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Cooley has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fales Keep Cooley Keep
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.
Name: Knox Hall Condominium Association Investment-related: No Address: 893 Piedmont Ave, NE Atlanta, GA 30309 The nature of the other business: Condominium Association Your position: Member at Large The start date of your relationship: Current Term 1/1/2017 The approximate number of hours/month you devote to the other business : 1 hour a month The number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Approve member requests for changes to their unit along with all other board members the name of the other business; Druid Hills Golf Club whether the business is investment-related; no the address of the other business; 740 Clifton Rd, NE, Atlanta, GA 30307 the nature of the other business; Golf Club Board Member. Golf/tennis/swim community your position; Board Member title, or relationship with the other business; Membership chair the start date of your relationship; 11/11/2024 the approximate number of hours/month you devote to the other business; 5 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; Welcomes new members to the club. the name of the other business; Westminster School whether the business is investment-related; No the address of the other business; 995 Hopmeadow St, Simsbury, CT 06070 the nature of the other business; General member of the Executive Committee of the Alumni Association for my Highschool your position; Advisory Board title, or relationship with the other business; Board Member the start date of your relationship; 9/1/2025 the approximate number of hours/month you devote to the other business; 1 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; Attend three meetings a year to hear updates on the school and advancing the mission and disseminating information to fellow alumni.
CRS (Client Relationship Summary) - RIA
Click below to view Cooley Keep Fales's 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®
NoneExperience
Current
May 25, 2023 - Present
JEFFERIES INVESTMENT ADVISERS LLC
RIA
CRD#: 325421
ATLANTA, GA
Current
November 11, 2009 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022BD
CRD#: 2347
NEW YORK, NY
Past
November 19, 2009 - August 14, 2023
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
ATLANTA, GA
Past
October 6, 2005 - October 25, 2005
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
ATLANTA, GA
Past
October 5, 2005 - December 2, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ATLANTA, GA
Past
October 5, 2005 - December 2, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ATLANTA, GA
Past
October 4, 2005 - October 25, 2005
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 27, 2004 - October 13, 2005
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
ATLANTA, GA
Past
July 20, 2004 - October 13, 2005
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
August 13, 1996 - July 27, 2000
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
JI
JEFFERIES INVESTMENT ADVISERS LLC
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421 / SEC#: 801-127656
RIA
Registered Investment Advisory firm - (4/20/2023 Approved)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(11/11/2009)
IAR
Alabama(9/18/2025)
RR
Alaska(3/28/2019)
IAR
Alaska(9/18/2025)
RR
Arizona(3/28/2019)
IAR
Arizona(10/8/2025)
RR
Arkansas(3/28/2019)
IAR
Arkansas(10/1/2025)
RR
California(11/11/2009)
IAR
California(9/18/2025)
RR
Colorado(3/28/2019)
IAR
Colorado(9/19/2025)
RR
Connecticut(3/28/2019)
IAR
Connecticut(9/19/2025)
RR
Delaware(3/28/2019)
IAR
Delaware(9/18/2025)
RR
District of Columbia(3/28/2019)
RR
Florida(11/11/2009)
IAR
Florida(10/6/2025)
RR
Georgia(11/11/2009)
IAR
Georgia(5/26/2023)
RR
Hawaii(3/28/2019)
IAR
Hawaii(9/19/2025)
RR
Idaho(3/28/2019)
IAR
Idaho(9/18/2025)
RR
Illinois(3/28/2019)
IAR
Illinois(9/19/2025)
RR
Indiana(11/11/2009)
IAR
Indiana(9/19/2025)
RR
Iowa(3/28/2019)
IAR
Iowa(9/19/2025)
RR
Kansas(3/28/2019)
IAR
Kansas(9/18/2025)
RR
Kentucky(3/28/2019)
IAR
Kentucky(9/23/2025)
RR
Louisiana(3/28/2019)
IAR
Louisiana(9/18/2025)
RR
Maine(3/28/2019)
IAR
Maine(9/19/2025)
RR
Maryland(3/28/2019)
IAR
Maryland(9/19/2025)
RR
Massachusetts(3/28/2019)
IAR
Massachusetts(11/7/2025)
RR
Michigan(3/28/2019)
IAR
Michigan(9/22/2025)
RR
Minnesota(3/28/2019)
IAR
Minnesota(9/23/2025)
RR
Mississippi(3/28/2019)
IAR
Mississippi(9/22/2025)
RR
Missouri(11/11/2009)
IAR
Missouri(9/18/2025)
RR
Montana(3/28/2019)
IAR
Montana(9/23/2025)
RR
Nebraska(3/28/2019)
IAR
Nebraska(9/18/2025)
RR
Nevada(11/11/2009)
IAR
Nevada(9/19/2025)
RR
New Hampshire(3/28/2019)
IAR
New Hampshire(9/19/2025)
RR
New Jersey(11/11/2009)
IAR
New Jersey(9/18/2025)
RR
New Mexico(3/28/2019)
IAR
New Mexico(9/19/2025)
RR
New York(11/11/2009)
IAR
New York(5/26/2023)
RR
North Carolina(3/28/2019)
IAR
North Carolina(9/18/2025)
RR
North Dakota(3/28/2019)
IAR
North Dakota(9/22/2025)
RR
Ohio(3/28/2019)
IAR
Ohio(9/18/2025)
RR
Oklahoma(11/11/2009)
IAR
Oklahoma(9/22/2025)
RR
Oregon(4/11/2019)
IAR
Oregon(10/22/2025)
RR
Pennsylvania(11/11/2009)
IAR
Pennsylvania(9/19/2025)
RR
Puerto Rico(3/28/2019)
IAR
Puerto Rico(10/17/2025)
RR
Rhode Island(3/28/2019)
IAR
Rhode Island(9/19/2025)
RR
South Carolina(11/11/2009)
IAR
South Carolina(9/23/2025)
RR
South Dakota(3/28/2019)
IAR
South Dakota(9/19/2025)
RR
Tennessee(11/11/2009)
RR
Texas(3/28/2019)
IAR
Texas(5/25/2023)
RR
Utah(3/28/2019)
IAR
Utah(9/22/2025)
RR
Vermont(3/28/2019)
IAR
Vermont(9/18/2025)
RR
Virgin Islands(7/31/2024)
IAR
Virgin Islands(9/19/2025)
RR
Virginia(3/28/2019)
IAR
Virginia(9/19/2025)
RR
Washington(3/28/2019)
IAR
Washington(9/18/2025)
RR
West Virginia(3/28/2019)
IAR
West Virginia(9/22/2025)
RR
Wisconsin(3/28/2019)
IAR
Wisconsin(9/23/2025)
RR
Wyoming(3/28/2019)
IAR
Wyoming(9/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JI
JEFFERIES INVESTMENT ADVISERS LLC
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421 / SEC#: 801-127656
RIA
Registered Investment Advisory firm - (4/20/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 284-2300
Established
Firm type
Fiscal year end
# of Employees
135
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,081 |
| AUM (Assets Under Management) | $ 3,402,872,417 |
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.
