JC
Jon Cooper
REALTA EQUITIES
WILMINGTON, DE 19801
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CRD#: 5059767
JC
Professional summary
Jon Cooper is a registered financial professional currently at REALTA EQUITIES, INC. located in Wilmington, Delaware.
Jon is registered as a RR (Registered Representative) and started their career in finance in 2006. Jon has worked at 6 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 31, Series 7, Series 53, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jon Cooper's 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®
NoneExperience
Current
December 2, 2024 - Present
REALTA EQUITIES, INC.
Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801BD
CRD#: 23769
WILMINGTON, DE
Past
January 3, 2022 - December 9, 2024
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
JACKSONVILLE, FL
Past
September 7, 2011 - October 5, 2021
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
October 23, 2009 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
August 8, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WALTHAM, MA
Past
February 23, 2006 - May 12, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alaska(12/3/2024)
RR
Arizona(12/9/2024)
RR
Arkansas(12/17/2024)
RR
California(12/3/2024)
RR
Colorado(12/6/2024)
RR
Connecticut(12/3/2024)
RR
Delaware(12/9/2024)
RR
District of Columbia(12/4/2024)
RR
Florida(12/2/2024)
RR
Georgia(12/5/2024)
RR
Hawaii(12/4/2024)
RR
Idaho(1/13/2025)
RR
Illinois(5/16/2025)
RR
Indiana(12/3/2024)
RR
Iowa(12/12/2024)
RR
Kansas(12/3/2024)
RR
Louisiana(12/13/2024)
RR
Maine(12/3/2024)
RR
Maryland(12/12/2024)
RR
Massachusetts(12/16/2024)
RR
Michigan(12/5/2024)
RR
Minnesota(12/9/2024)
RR
Mississippi(12/3/2024)
RR
Montana(12/9/2024)
RR
Nebraska(12/3/2024)
RR
Nevada(12/3/2024)
RR
New Jersey(12/3/2024)
RR
New Mexico(12/4/2024)
RR
New York(12/3/2024)
RR
North Carolina(12/3/2024)
RR
North Dakota(12/9/2024)
RR
Ohio(12/3/2024)
RR
Oklahoma(12/3/2024)
RR
Oregon(4/7/2025)
RR
Pennsylvania(12/3/2024)
RR
Rhode Island(12/11/2024)
RR
South Carolina(12/3/2024)
RR
South Dakota(12/3/2024)
RR
Tennessee(12/4/2024)
RR
Texas(12/3/2024)
RR
Utah(12/24/2024)
RR
Vermont(12/19/2024)
RR
Virginia(12/4/2024)
RR
Washington(12/13/2024)
RR
West Virginia(12/9/2024)
RR
Wisconsin(12/5/2024)
RR
Wyoming(12/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/26/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
Company Information
REALTA EQUITIES, INC.
CRD#: 23769Wilmington, DE 19801TRUST BUT VERIFY
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