Joshua R. Cook

COOK FINANCIAL

VERNAL, UT 84078

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CRD#: 4277525

Professional summary

Joshua R Cook is a registered financial advisor currently at COOK FINANCIAL, LLC located in Vernal, Utah.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Independent Insurance Agent - Investment Related - At Reported Business Location(s) - Non-Variable Insurance Agent - Started 05/2011 - Time Spent 20% - Life insurance, fixed annuities, disability, medicare plans.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua R Cook's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 6, 2023 - Present

COOK FINANCIAL, LLC

Office #1: 617 N Vernal Ave East Suite, Vernal, UT 84078

RIA

CRD#: 326989

VERNAL, UT

Past

September 29, 2016 - April 7, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

VERNAL, UT

Past

September 28, 2016 - April 7, 2022

LPL FINANCIAL LLC

CRD#: 6413

VERNAL, UT

Past

August 29, 2014 - October 3, 2016

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

VERNAL, UT

Past

November 9, 2007 - October 3, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

VERNAL, UT

Past

March 25, 2002 - August 31, 2007

ZIONS DIRECT, INC.

CRD#: 17776

TAYLORSVILLE, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(9/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/2002

General Securities Representative Examination

Current Firm

COOK FINANCIAL, LLC

CRD#: 326989 / SEC#:

Utah

Registered Investment Advisory firm - (9/6/2023 Approved)

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Contact information

Main Address

617 N Vernal Ave East Suite, Vernal, UT 84078

Mailing Address

67 N 800 W Unit 1410, Vernal, UT 84078

Phone number

(435) 630-5900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 3,406,450

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.

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Joshua R. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua R Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

COOK FINANCIAL, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

ZIONS DIRECT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/2012

Series 63

Date: 5/16/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/22/2002

Current Firm

COOK FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COOK FINANCIAL, LLC

TRUST BUT VERIFY

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