John J. Cooleen
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.
John Joseph Cooleen JR, who also goes by Johnny Cool, John J (jr) Cooleen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2020 - March 2, 2023
B. RILEY SECURITIES, INC.
September 12, 2016 - October 13, 2018
NOBLE CAPITAL MARKETS, INC.
March 6, 2012 - September 6, 2016
MERRIMAN CAPITAL, INC.
April 27, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
August 11, 2009 - March 25, 2011
ROTH CAPITAL PARTNERS, LLC
March 13, 2002 - August 20, 2009
MERRIMAN CAPITAL, INC.
September 10, 1998 - February 1, 2002
WELLS FARGO SECURITIES, LLC
March 26, 1997 - August 27, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
