Joseph A. Cook
Professional summary
Joseph Andrew Cook, who also goes by Joseph A Cook, Joseph Cook, is a registered financial professional currently at REALTA EQUITIES, INC. located in Wilmington, Delaware.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 10 firms and has passed the Series 63, Series 65, Series 22TO, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Andrew Cook's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2023 - Present
REALTA EQUITIES, INC.
Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801January 24, 2017 - April 6, 2017
ARETE WEALTH MANAGEMENT, LLC
January 28, 2015 - February 2, 2015
ARETE WEALTH MANAGEMENT, LLC
December 15, 2008 - March 14, 2014
ARETE WEALTH ADVISORS, LLC
November 25, 2008 - July 18, 2014
ARETE WEALTH MANAGEMENT, LLC
February 4, 2005 - November 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 3, 2005 - November 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 2002 - January 14, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
April 8, 2002 - September 30, 2002
SANDS BROTHERS & CO., LTD.
August 27, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
July 1, 2001 - August 2, 2001
COMPUTERSHARE SECURITIES CORPORATION
February 9, 2000 - July 1, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2023)
Exams
Series 22TO
Date: 9/7/2023
Direct Participation Programs Representative ExaminationFINRA
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Company Information
REALTA EQUITIES, INC.
CRD#: 23769Wilmington, DE 19801TRUST BUT VERIFY
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