Robert A. Cooper

CAPITAL MANAGEMENT ASSOCIATES

Faribault, MN

Some features on this profile are disabled

CRD#: 4905586

Professional summary

Robert Allen Cooper, CFP® is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Faribault, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Faribault, Minnesota.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Robert has worked at 2 firms and has passed the Series 66, 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.

Insurance Agent - licensed to sell life, accident and health, variable life and variable annuities. 1 hour/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Allen Cooper's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

December 20, 2013 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

RIA

CRD#: 105010

Faribault, MN

Current

February 7, 2005 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579

FARIBAULT, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/4/2010)

IAR

Florida
(2/1/2017)

IAR

Illinois
(7/2/2021)

Massachusetts
(1/3/2006)

Minnesota
(3/15/2005)

IAR

Minnesota
(12/20/2013)

Ohio
(6/25/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/11/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

Mailing Address

Phone number

(952) 893-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 1,627,864,626

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert A. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Allen Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT SECURITIES, INC.

Primary Firm SEC Registration

CAPITAL MANAGEMENT ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/11/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/5/2005

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT ASSOCIATES INC

TRUST BUT VERIFY

Similar Advisors