David R. 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 Rudell Cooper, who also goes by Dave R Cooper, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 18 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2020 - November 18, 2021
NEWBRIDGE SECURITIES CORPORATION
November 27, 2019 - July 30, 2020
AEGIS CAPITAL CORP.
October 11, 2013 - August 21, 2019
INTERCOASTAL CAPITAL MARKETS, INC.
November 27, 2001 - October 2, 2013
JVB FINANCIAL GROUP, LLC
May 3, 2001 - January 4, 2002
LIGHTSPEED PROFESSIONAL TRADING LLC
May 12, 2000 - January 16, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
September 10, 1998 - April 17, 2000
FIRST EQUITY CORPORATION OF FLORIDA
November 29, 1995 - August 18, 1998
BANKERS INTERNATIONAL SECURITIES, INC.
July 18, 1994 - December 15, 1994
SAPERSTON FINANCIAL INC.
March 22, 1993 - February 14, 1994
MERIDIAN, DUNHILL & CO., INC.
July 24, 1991 - February 5, 1993
PORTER, WHITE & COMPANY, INC.
November 6, 1989 - July 18, 1991
J. B. HANAUER & CO.
April 5, 1988 - July 20, 1989
COMMVEST SECURITIES,INC.
February 28, 1984 - September 21, 1987
RAYMOND JAMES & ASSOCIATES, INC.
May 19, 1983 - August 7, 1985
HERETH, ORR & JONES, INC.
May 23, 1979 - March 4, 1983
HANAUER, STERN & COMPANY,INCORPORATED
September 21, 1978 - April 28, 1979
UMIC, INC.
February 17, 1978 - October 18, 1978
CARTY, HARDING & HEARN, INC.
March 18, 1976 - October 25, 1977
HANAUER, STERN & COMPANY,INCORPORATED
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 11/9/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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.
