Jason E. 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.
Jason Eric Cooper was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1998. Jason had worked at 5 firms and has passed the Series 66, SIE, Series 31, 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 26, 2016 - August 16, 2016
CAPITAL PORTFOLIO MANAGEMENT, INC.
February 25, 2016 - August 16, 2016
CAPITAL PORTFOLIO MANAGEMENT, INC.
July 13, 2009 - March 24, 2016
LPL FINANCIAL LLC
July 10, 2009 - March 24, 2016
LPL FINANCIAL LLC
June 23, 2009 - July 30, 2009
MORGAN STANLEY
June 1, 2009 - July 30, 2009
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 9, 1998 - February 21, 2006
LEGG MASON WOOD WALKER, 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
CAPITAL PORTFOLIO MANAGEMENT, INC.
CRD#: 29302 / SEC#: , 8-44225
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
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.
