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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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NC

Noel A. Cooper

WALLED LAKE PLANNING & WEALTH MANAGEMENT
Highland Park, IL 60035
Some features on this profile are disabled
CRD#: 3175789
NC

Professional summary

Noel Adam Cooper, CFP® is a registered financial advisor currently at WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC located in Highland Park, Illinois.

Noel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Noel has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noel Adam 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®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Current

January 19, 2019 - Present

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Office #1: 600 Elm Place, Highland Park, IL 60035
RIA
CRD#: 299595
Highland Park, IL
Past

September 15, 2003 - December 19, 2018

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
Winnetka, IL
Past

September 15, 2003 - December 19, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
Winnetka, IL
Past

April 15, 2003 - September 16, 2003

OPPENHEIMER ASSET MANAGEMENT

RIA
CRD#: 105559
NEW YORK, NY
Past

January 3, 2003 - April 15, 2003

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
CHICAGO, IL
Past

January 3, 2003 - September 16, 2003

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

August 22, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA
CRD#: 630
CHICAGO, IL
Past

February 4, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 4, 1999 - February 10, 2000

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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".
WL
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA
Registered Investment Advisory firm - (12/6/2018 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
Illinois
(1/19/2019)
IAR
Texas
(1/2/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/10/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/1999
General Securities Representative Examination

Current Firm

WL
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA
Registered Investment Advisory firm - (12/6/2018 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Elm Place, Highland Park, IL 60035
Mailing Address
Phone number
(847) 616-2590
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WALLED LAKE PLANING & WEALTH MANAGEMENT, LLC - WRAP FEE PROGRAM BROCHURE (3/20/2025)
DISCLOSURE BROCHURE - WALLED LAKE PLANNING & WEALTH MANAGEMENT (3/20/2025)

Regulatory assets under management

Total Number of Accounts2,092
AUM (Assets Under Management)$ 669,251,402

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.

Company Information

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595Highland Park, IL 60035

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