David N. Cooper
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.
David Nelson Cooper was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 5 firms and has passed the Series 66, SIE 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
September 29, 2014 - December 31, 2015
AVANTAX ADVISORY SERVICES
September 24, 2014 - December 31, 2015
AVANTAX INVESTMENT SERVICES, INC.
October 5, 2007 - December 31, 2012
AVANTAX ADVISORY SERVICES
August 24, 2007 - December 31, 2012
AVANTAX INVESTMENT SERVICES, INC.
November 13, 2006 - July 30, 2007
PRINCIPAL SECURITIES, INC.
October 17, 2006 - July 30, 2007
PRINCIPAL SECURITIES, INC.
December 12, 2005 - October 2, 2006
NEW ENGLAND SECURITIES
June 17, 2005 - October 2, 2006
NEW ENGLAND SECURITIES
February 4, 2004 - May 18, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 2003 - May 18, 2005
RAYMOND JAMES FINANCIAL SERVICES, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
