Clive W. 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.
Clive Wayne Cook was a registered financial professional .
Clive is a previously registered financial professional and started their career in finance in 2003. Clive had worked at 4 firms and has passed the Series 63 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
March 29, 2011 - April 17, 2012
RELIGARE CAPITAL MARKETS INC.
September 20, 2010 - June 6, 2011
RELIGARE CAPITAL MARKETS (USA) LLC
May 8, 2008 - January 27, 2010
AUERBACH GRAYSON & COMPANY LLC
March 20, 2003 - February 26, 2008
HSBC SECURITIES (USA) 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
Current Firm
RELIGARE CAPITAL MARKETS INC.
CRD#: 153292 / SEC#: , 8-68518
Contact information
Documents
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.
