JC
Jason E. Cooper
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CRD#: 2998333
JC
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.
Jason Earl Cooper, CFP® was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1998. Jason had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
NVEST LLC- INV RELATED, FAIRHOPE AL; REAL ESTATE, 3 HOURS A MONTH/0 DURING TRADING. DUTIES: FUNDING AND DECISION MAKING OF THE PROPERTIES TO BE BOUGHT AND SOLD. START 7/2/2003 CACO, LLC. MOBILE, AL; MEMBER; HOLDING COMPANY FOR RESIDENTIAL PROPERTIES; START 5/1/2012; HOURS: 3 PER MONTH - 0 DURING TRADING; DUTIES ARE TO PROVIDE CAPITAL TO THE LLC. EAST BAY PROPERTY, LLC, INVESTMENT RELATED, FAIR HOPE, AL, CO-OWNER, START 4/14/2015, 3 HOURS/MONTH, 0 DURING TRADING, RENTAL PROPERTY MANAGER. RENTAL PROPERTY; INVESTMENT RELATED; FAIRHOPE, AL; 100% OWNERSHIP WITH SPOUSE; START 8/1/2016; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; FAIRHOPE, AL; 100% OWNERSHIP WITH SPOUSE; START 12/27/2018; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; FAIRHOPE, AL; 100% OWNERSHIP WITH SPOUSE; START 10/8/2012; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; FAIRHOPE, AL; 100% OWNERSHIP WITH SPOUSE; START 1/15/2016; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; MOBILE, AL; 50% OWNERSHIP WITH SPOUSE; START 8/17/2016; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; MOBILE, AL; 50% OWNERSHIP WITH SPOUSE; START 3/11/2014; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; MOBILE, AL; 50% OWNERSHIP WITH SPOUSE; START 6/9/2017; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; MOBILE, AL; 50% OWNERSHIP WITH SPOUSE; START 9/19/2014; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; FAIRHOPE, AL; 100% OWNERSHIP WITH SPOUSE; START 1/15/2016; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; MOBILE, AL; 50% OWNERSHIP WITH SPOUSE; START 6/28/2011; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. COMMERCIAL RENTAL PROPERTY DBA FISH RIVER BOAT STORAGE, INV RELATED, FAIRHOPE, AL, 100% OWNERSHIP WITH SPOUSE, START 5/15/2017, 1 HOUR PER MONTH, ZERO DURING TRADING, BOAT STORAGE RENTAL SPACE.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2017
Experience
Past
July 31, 2012 - March 10, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FAIRHOPE, AL
Past
July 31, 2012 - March 10, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FAIRHOPE, AL
Past
January 4, 2008 - August 9, 2012
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
January 4, 2008 - August 9, 2012
STONEX SECURITIES INC.
BD
CRD#: 18456
MOBILE, AL
Past
June 4, 2002 - January 7, 2008
NBC SECURITIES, INC.
RIA
CRD#: 17870
MOBILE, AL
Past
June 4, 2002 - January 7, 2008
NBC SECURITIES, INC.
BD
CRD#: 17870
MOBILE, AL
Past
August 24, 2000 - June 4, 2002
AMSOUTH INVESTMENT SERVICES, INC.
RIA
CRD#: 15692
MOBILE, AL
Past
September 23, 1998 - June 4, 2002
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
February 19, 1998 - June 19, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
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".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
