Clinton W. Cooper

COOPER CAPITAL GROUP

Encinitas, CA 92024

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CRD#: 2842323

Professional summary

Clinton Wayne Cooper is a registered financial advisor currently at COOPER CAPITAL GROUP located in Encinitas, California and PURSHE KAPLAN STERLING INVESTMENTS located in Encinitas, California.

Clinton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Clinton has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Cooper Capital Group. Investment Related. 280 N. Coast Hwy 101, Encinitas, CA 92024. RIA, Owner, CEO. Start 9/2019. 160hrs/mo, all during trading hours. Manage Client Investment Accounts. 2) Cooper Capital Advisors. Non-Investment Related. 280 N. Coast Hwy 101, Encinitas, CA 92024. Life Insurance, Owner, CEO and CCO. Start 9/2019. 20hrs/mo, none during trading hours. Solve life insurance needs for clients 3) Elevated Performance. Not investment-related. Encinitas, CA. Sober life coaching and fitness program/charitable organization. Board of Directors. Start 6/2025. Various hours. None during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clinton Wayne Cooper's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 17, 2019 - Present

COOPER CAPITAL GROUP

Office #1: 280 N Coast Highway 101, Encinitas, CA 92024

RIA

CRD#: 305121

Encinitas, CA

Current

September 16, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 280 N Coast Highway 101, Encinitas, CA 92024

CRD#: 35747

Encinitas, CA

Past

March 17, 2003 - April 30, 2007

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

RIA

CRD#: 109729

MILWAUKEE, WI

Past

May 9, 2002 - September 23, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LA JOLLA, CA

Past

April 4, 1997 - May 7, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 21, 1997 - April 10, 1997

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

FORT ATKINSON, WI

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".

COOPER CAPITAL GROUP

COOPER CAPITAL ADVISORS, LLC | COOPER CAPITAL GROUP

CRD#: 305121 / SEC#: 801-117210

RIA

Registered Investment Advisory firm - (8/16/2019 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.

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

Arizona
(9/16/2019)

California
(9/16/2019)

IAR

California
(9/17/2019)

Massachusetts
(9/16/2019)

Nevada
(9/16/2019)

Washington
(9/16/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/7/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/20/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

COOPER CAPITAL GROUP

COOPER CAPITAL ADVISORS, LLC | COOPER CAPITAL GROUP

CRD#: 305121 / SEC#: 801-117210

RIA

Registered Investment Advisory firm - (8/16/2019 Approved)

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Contact information

Main Address

280 N Coast Highway 101, Encinitas, CA 92024

Mailing Address

Phone number

(760) 452-6114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	467
AUM (Assets Under Management)	$ 247,653,393

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.

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Firm Stability Insights

Clinton W. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clinton Wayne Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MORGAN STANLEY DW INC.

COORDINATED CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

COOPER CAPITAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/1997

Series 63

Date: 4/10/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 5/7/1997

Series 7

Date: 3/20/1997

FINRA

Current Firm

COOPER CAPITAL GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOPER CAPITAL GROUP

TRUST BUT VERIFY

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