Kenneth D. Cooper

U.S. CAPITAL WEALTH ADVISORS

Austin, TX 78701

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CRD#: 3102358

Professional summary

Kenneth Dale Cooper, who also goes by Dale Cooper, K Dale Cooper, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kenneth has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dale Cooper | K Dale Cooper

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)BONCOOP LTD IS INVESTMENT RELATED AT 4210 SPICEWOOD SPRINGS RD STE 108 AUSTIN, TX 78759. MR. COOPER HAS BEEN A LIMITED PARTNER SINCE 1/2007 AND SPENDS 4 HOURS A MONTH DURING TRADING HOURS TO MANAGE FAMILY ASSETS ACCOUNTS HELD AT RIA. 2)CARR RIGGS & INGRAM LLC IS NOT INVESTMENT RELATED AT 4210 SPICEWOOD SPRINGS RD STE 108 AUSTIN, TX 78759. MR. COOPER WAS A PARTNER UNTIL 2018 WHEN HE BECAME A PARTNER EMERITUS. HE STARTED IN 2010 AND SPENDS 48 HOURS A MONTH DURING TRADING HOURS TRANSISTIONING HIS RELATIONSHIPS WITH CLIENTS TO EXISTING PARTNERS AND ASSISTING WITH SPECIFIC ISSUES AS REQUESTED. 3) COOPER CAPITAL ADVISORS,LLC IS NOT INVESTMENT RELATED AT 4210 SPICEWOOD SPRINGS RD STE 108 AUSTIN, TX 78759. MR. COOPER IS THE MANAGING MEMBER AND IT IS THE 50% PARTNER IN COOPER GRACI 86 WHICH OWNS A BUILDING IN AUSTIN, TEXAS. MR. COOPER SPENDS ABOUT TWO HOURS A MONTH OUTSIDE TRADING HOURS MANGING THIS ENTITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Dale 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

January 8, 2018 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701

RIA

CRD#: 288199

Austin, TX

Past

June 2, 2016 - July 13, 2017

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Austin, TX

Past

September 10, 2001 - June 15, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUSTIN, TX

Past

September 10, 2001 - June 15, 2016

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

August 24, 1998 - July 7, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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".

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/8/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/2/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1998

General Securities Representative Examination

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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Contact information

Main Address

4444 Westheimer Rd. Suite G500, Houston, TX 77027

Mailing Address

Phone number

(713) 366-0500

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

USCWA ADV PART 2A MARCH 28, 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	10,833
AUM (Assets Under Management)	$ 7,282,480,817

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
01/23/2024	Cover Page	Report
03/24/2023	Cover Page	Report

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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Kenneth D. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Dale Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/2/2018

Series 63

Date: 9/2/1998

SIE

Date: 6/15/2016

Series 7

Date: 8/17/1998

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

U.S. CAPITAL WEALTH ADVISORS, LLC

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