Joseph Andrew Cook
Professional Summary
Joseph Andrew Cook, who also goes by Joseph A Cook, Joseph Cook, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph A Cook, Joseph Cook
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.
Contact Information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801Phone Number
(888) 657-5200Established
Massachusetts since 01/24/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/15/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Sep 2023About the Series 22TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2005About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2005About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Andrew Cook's CRS (Customer Relationship Summary).
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