Jessica A. Cooney
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.
Jessica Ann Cooney, CFP®, who also goes by Jessica Ann Auman, was a registered financial professional .
Jessica is a previously registered financial professional and started their career in finance in 1999. Jessica had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
January 24, 2020 - July 15, 2021
SYNOVUS SECURITIES, INC.
January 23, 2020 - July 15, 2021
SYNOVUS SECURITIES, INC.
January 3, 2014 - January 23, 2020
CHARLES SCHWAB & CO., INC.
January 2, 2014 - January 23, 2020
CHARLES SCHWAB & CO., INC.
October 10, 2012 - November 18, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 24, 2012 - November 18, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 14, 2005 - September 6, 2012
TRUIST INVESTMENT SERVICES, INC.
November 4, 2005 - September 6, 2012
TRUIST INVESTMENT SERVICES, INC.
December 8, 2004 - September 7, 2005
VALIC FINANCIAL ADVISORS, INC.
November 15, 2004 - September 7, 2005
VALIC FINANCIAL ADVISORS, INC.
July 23, 1999 - July 16, 2004
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
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 7TO
Date: 3/26/2024
General Securities Representative ExaminationCurrent Firm
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
