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JC

John Downey Cooper

CRD# 4294413·Registered 2000 - 2013
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Downey Cooper, who also goes by John Downey Cooper II, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2000 - 2013. John had worked at 5 firms and has passed the Series 66, Series 79, Series 7 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Downey Cooper Ii

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

EDGEVIEW CAPITAL SECURITIES, LLC·CRD# 154187
BD
Charlotte, NC
April 17, 2012 - July 9, 2013
WELLS FARGO SECURITIES, LLC·CRD# 126292
BD
Charlotte, NC
August 13, 2010 - April 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Charlotte, NC
June 9, 2009 - July 20, 2010
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Charlotte, NC
July 12, 2006 - October 23, 2009
TRIANGLE SECURITIES, LLC·CRD# 104039
BD
Raleigh, NC
December 4, 2000 - July 13, 2006

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Current Firm

EC
EDGEVIEW CAPITAL SECURITIES, LLC

EDGEVIEW CAPITAL SECURITIES, LLC

CRD#: 154187 / SEC#: 8-68613
BD
Terminated by SEC on 09/28/2013

Contact Information

Established

North Carolina since 03/22/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
EDGEVIEW PARTNERS, L.P.LIMITED PARTNER—
GARNER, FREDERIC HOWARD IVREGISTERED PRINCIPAL2074320
MORRISSETT, WILLIAM ADAMSPRESIDENT/CCO1570893
PATTERSON, DAVID BRYANTFINOP / CFO4039147
TYE, JOHN LEWIS IIREGISTERED PRINCIPAL3252780

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2001About the Series 66 exam

Series 79 — Investment Banking Registered Representative Examination

Passed Sep 2010About the Series 79 exam

Series 7 — General Securities Representative Examination

Passed Dec 2000About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jan 2008About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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