Adam C. 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.
Adam Craig Cooper was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1999. Adam had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 55, 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
January 30, 2015 - July 29, 2015
AVATAR SECURITIES, LLC
April 8, 2011 - June 30, 2014
AVATAR SECURITIES, LLC
May 7, 2008 - April 22, 2009
GLB TRADING, INC
November 15, 2006 - November 29, 2007
GREAT POINT CAPITAL LLC
October 19, 2006 - November 10, 2006
MCCLENDON, MORRISON & PARTNERS, INC.
April 4, 2005 - November 9, 2006
TERRA NOVA FINANCIAL, LLC
March 15, 2004 - January 31, 2005
TRADIER BROKERAGE, INC.
June 19, 2002 - November 29, 2002
NT SECURITIES LLC
February 26, 2002 - June 19, 2002
RUMSON CAPITAL, LLC
March 5, 2001 - December 31, 2001
SERVICE ASSET MANAGEMENT COMPANY
October 15, 1999 - February 27, 2001
KNIGHT CAPITAL MARKETS LLC
April 30, 1999 - October 6, 1999
TD AMERITRADE, INC.
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
Series 55
Date: 1/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
