Thomas A. 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.
Thomas Aaron Cooper was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2023 - March 31, 2026
ZUNA, LLC
February 20, 2015 - March 16, 2022
NORTHWEST FIDUCIARY CONSULTANTS, LLC
February 4, 2005 - December 18, 2006
VOYA FINANCIAL PARTNERS, LLC
June 29, 1999 - February 2, 2005
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
ZUNA, LLC
CRD#: 306113 / SEC#: 801-117623
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
Current Firm
ZUNA, LLC
CRD#: 306113 / SEC#: 801-117623
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 411,282,994 |
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.
