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Chad W. Cook

OLD WEST INVESTMENT MANAGEMENT
LOS ANGELES, CA 90017
Some features on this profile are disabled
CRD#: 5073138
CC

Professional summary

Chad William Cook, who also goes by Chad W. Cook, is a registered financial advisor currently at OLD WEST INVESTMENT MANAGEMENT, LLC located in Los Angeles, California.

Chad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Chad has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chad W. Cook

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad William Cook'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®
None

Experience

Current

January 20, 2021 - Present

OLD WEST INVESTMENT MANAGEMENT, LLC

Office #1: 601 S Figueroa St Ste 1975, Los Angeles, CA 90017
RIA
CRD#: 148343
LOS ANGELES, CA
Past

August 9, 2010 - December 31, 2020

OLD WEST INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 148343
LOS ANGELES, CA
Past

December 19, 2005 - January 29, 2009

ALETHEIA SECURITIES, INC.,

BD
CRD#: 44784
SANTA MONICA, CA

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".
OW
OLD WEST INVESTMENT MANAGEMENT, LLC
OLD WEST INVESTMENT MANAGEMENT, LLC

CRD#: 148343 / SEC#: 801-69604

RIA
Registered Investment Advisory firm - (10/15/2008 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.

Highlighted states indicate IAR registrations

IAR
California
(1/20/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/6/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2005
General Securities Representative Examination

Current Firm

OW
OLD WEST INVESTMENT MANAGEMENT, LLC
OLD WEST INVESTMENT MANAGEMENT, LLC

CRD#: 148343 / SEC#: 801-69604

RIA
Registered Investment Advisory firm - (10/15/2008 Approved)
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Contact information

Main Address
601 South Figueroa Street Suite 1975, Los Angeles, CA 90017
Mailing Address
Phone number
(213) 943-1740
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2 OF FORM ADV (3/31/2025)

Regulatory assets under management

Total Number of Accounts554
AUM (Assets Under Management)$ 476,543,531

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

OLD WEST INVESTMENT MANAGEMENT, LLC

CRD#: 148343Los Angeles, CA 90017

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