Carlene F. Cooke
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.
Carlene Faye Cooke, who also goes by Carlene Faye Carter, was a registered financial professional .
Carlene is a previously registered financial professional and started their career in finance in 1972. Carlene had worked at 13 firms and has passed the Series 63, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2005 - December 16, 2009
SUMNER HARRINGTON LTD.
October 2, 2002 - May 29, 2012
EMERGENT FINANCIAL GROUP, INC.
January 2, 1997 - December 17, 2002
WATERFORD FINANCIAL, INC.
July 2, 1996 - December 17, 1996
EVEREST SECURITIES, INC.
April 2, 1992 - May 31, 1995
HANROW SECURITIES CORP.
November 15, 1990 - March 12, 1996
MAVEN SECURITIES, INC.
June 23, 1987 - July 23, 2012
CMP EQUITIES, INC.
December 12, 1984 - November 29, 1985
FIRST PREFERRED INVESTMENT CORPORATION
June 29, 1981 - January 6, 1984
BRATTER FINANCIAL CORPORATION
October 4, 1977 - November 19, 1983
FIRST CORPORATE BROKERAGE SERVICES, INC.
March 22, 1977 - August 18, 1977
PIPER SANDLER & CO.
December 17, 1975 - March 4, 1977
OPTIONS COMPANY OF MINNEAPOLIS, INCORPORATED
November 22, 1972 - September 30, 1977
PAGEL 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
F04
Date: 12/11/1975
Financial Principal ExaminationSeries 00
Date: 12/11/1975
General Securities Principal ExaminationCurrent Firm
SUMNER HARRINGTON LTD.
CRD#: 45858 / SEC#: , 8-51215
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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