Charles A. Cook
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.
Charles Andrew Cook, who also goes by C. Andrew Cook, Charles Andrew Cook, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2020 - December 31, 2024
COLUMBIA SQUARE WEALTH MANAGEMENT LLC
June 15, 2017 - July 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2017 - July 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2008 - September 4, 2014
CHARLES SCHWAB & CO., INC.
April 3, 2008 - September 4, 2014
CHARLES SCHWAB & CO., INC.
April 29, 2004 - July 19, 2007
CHARLES SCHWAB & CO., INC.
May 26, 2003 - April 1, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 27, 2003 - April 1, 2004
IDS LIFE INSURANCE COMPANY
March 27, 2003 - April 1, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2002 - October 31, 2002
NEBS FINANCIAL SERVICES, INC.
September 10, 1999 - December 17, 2001
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COLUMBIA SQUARE WEALTH MANAGEMENT LLC
CRD#: 309447 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 534,760 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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