John 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.
John Abbott Root Cooper was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2009. John had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
February 22, 2016 - June 28, 2018
HILTON CAPITAL MANAGEMENT, LLC
June 25, 2015 - October 27, 2015
HILTON CAPITAL MANAGEMENT, LLC
January 21, 2015 - November 6, 2015
RAFFERTY CAPITAL MARKETS, LLC
December 13, 2011 - November 6, 2014
JEFFERIES LLC
November 1, 2010 - December 14, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
Primary Firm SEC Registration
HILTON CAPITAL MANAGEMENT, LLC
CRD#: 116357 / SEC#: 801-60776
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
HILTON CAPITAL MANAGEMENT, LLC
CRD#: 116357 / SEC#: 801-60776
Contact information
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,288 |
| AUM (Assets Under Management) | $ 2,931,323,336 |
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.
