Walter G. 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.
Walter Glen Cooper was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. Walter had worked at 4 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1999 - July 10, 2000
TD AMERITRADE, INC.
February 18, 1998 - February 25, 1999
QUEST CAPITAL STRATEGIES, INC.
November 17, 1997 - December 5, 1997
WALDRON & CO., INC.
September 19, 1996 - April 14, 1997
INCOME NETWORK COMPANY
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
