Noel A. Cooper

WALLED LAKE PLANNING & WEALTH MANAGEMENT

Highland Park, IL 60035

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CRD#: 3175789

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.

(1) HIGHLAND PARK COMMUNITY NURSERY SCHOOL & DAY CARE CENTER; ADDRESS: 1850 GREEN BAY ROAD HIGHLAND PARK, IL; BUSINESS DESCRIPTION: FOSTER AWARENESS FOR HP COMMUNITY; NOT INVESTMENT RELATED; START DATE: 12/02/2013; CAPACITY: BOARD OF DIRECTORS; DUTIES: RAISE AWARENESS OF HP COMMUNITY AND HELP ORGANIZING FUND RAISING ACTIVITIES, ANNUAL SPRING EVENT; HOURS DEVOTED PER WEEK: 5 TO 10; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (2) THE ART CENTER HIGHLAND PARK; ADDRESS: 1957 SHERIDAN ROAD, HIGHLAND PARK, IL 60035; NOT FOR PROFIT; BUSINESS DESCRIPTION: NON-FOR-PROFIT VISUAL ARTS ORGANIZATION; CAPACITY: BOARD OF DIRECTORS; START DATE: 10/17/2018; DUTIES: ADVISORY ON PROGRAMMING AND COMMUNITY OUTREACH; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) ILLINOIS DEPARTMENT OF INSURANCE; INVESTMENT RELATED; INSURANCE LICENSE; HOURS VARY BASED ON CLIENT NEEDS; SERVICING OF ACCOUNTS.

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

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.

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.

CRD#: 630

NEW YORK, NY

Past

February 4, 1999 - February 10, 2000

J.P. MORGAN SECURITIES LLC

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".

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)

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: 1/10/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/1999

General Securities Representative Examination

Current Firm

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA

Registered Investment Advisory firm - (12/6/2018 Approved)

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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

SEC notice filing (10 States and Territories)

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 Accounts	2,092
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.

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Firm Stability Insights

Noel A. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noel Adam Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2000

Series 63

Date: 2/12/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/3/1999

Current Firm

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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