Steven M. Cook
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.
Steven M Cook, who also goes by Steve Cook, Steven Michael Cook, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2024 - February 8, 2024
ALLIANCE-ONE INVESTMENTS, LLC
April 14, 2023 - July 12, 2023
T. ROWE PRICE ADVISORY SERVICES, INC.
November 2, 2017 - April 14, 2023
T. ROWE PRICE ASSOCIATES, INC.
November 2, 2017 - July 12, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
November 3, 2005 - October 10, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 28, 2004 - October 10, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 12, 2003 - June 4, 2004
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 17, 2003 - December 12, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 18, 2002 - November 1, 2002
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
Red Flags
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