Erik B. 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.
Erik Brendan Cooper was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 1999. Erik had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 79, 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
May 15, 2018 - May 16, 2019
ING FINANCIAL MARKETS LLC
March 19, 2015 - August 28, 2017
THE FUSION FOUNDRY
July 31, 2007 - November 25, 2008
GOLDMAN SACHS & CO. LLC
October 19, 2006 - January 8, 2007
ALTACCESS SECURITIES COMPANY, L.P.
July 6, 2005 - February 1, 2006
RBC DANIELS, L.P.
May 8, 2002 - August 16, 2004
RBC CAPITAL MARKETS, LLC
January 5, 2000 - November 28, 2000
CYBERTRADER, INC.
October 15, 1999 - October 21, 1999
MORGAN STANLEY DW INC.
October 15, 1999 - January 6, 2000
THE AVANTUS GROUP, 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: 8/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
ING FINANCIAL MARKETS LLC
CRD#: 28872 / SEC#: , 8-43978
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MAESTAS, ADRIANA EMILIA | GENERAL COUNSEL | 7415275 |
| MCCARTHY, JOHN | CHIEF COMPLIANCE OFFICER | 4117424 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
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.
