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Alan Cooper

CRD# 4644872·Registered 2011 - 2023
Previously Registered: Being a previously registered professional could mean that Alan 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

Alan Cooper, who also goes by Al Charles Cooper Mr, Alan C Cooper, was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 2011 - 2023. Alan had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 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

Al Charles Cooper Mr, Alan C Cooper

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

15 years in the financial services industry

Current & Past Employments

SAGETRADER, LLC·CRD# 137862
BD
San Francisco, CA
August 8, 2012 - February 1, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
June 7, 2011 - July 1, 2011
MERRILL LYNCH PROFESSIONAL CLEARING CORP.·CRD# 16139
BD
New York, NY
April 20, 2011 - December 2, 2011

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Current Firm

SL
SAGETRADER, LLC

BRIDGE INVESTMENT ADVISORS LLC | VT BROKERS, LLC | SAGETRADER, LLC

CRD#: 137862 / SEC#: 8-67169
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

282 Grand Avenue Suite #2, Englewood, NJ 07631

Mailing Address

282 Grand Avenue Suite #2, Englewood, NJ 07631

Phone Number

(646) 837-0050

Established

Delaware since 09/29/2003

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BOGERT INVESTMENTS LLCSOLE MEMBER—
FORSYTHE, MICHAEL FRANCISCEO2772933
PETERS, ROBERT WILLIAMFINOP1704577
STIPANICH, RYAN CHARLESCHIEF COMPLIANCE OFFICER5053220

Disclosures

Regulatory Event

16

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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 63 — Uniform Securities Agent State Law Examination

Passed Aug 2011About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2011About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2012About the Series 24 exam

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CRS (Client Relationship Summary)

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

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