Stephen J. Cooke

AMERITAS ADVISORY SERVICES

ISSAQUAH, WA 98027

Some features on this profile are disabled

CRD#: 5156259

Professional summary

Stephen James Cooke, CLU®, who also goes by Stephen Cooke, Steve Cooke, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Issaquah, Washington and AMERITAS INVESTMENT COMPANY, LLC located in Issaquah, Washington.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Cooke | Steve Cooke

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.

HIGHLANDS INSURANCE & RETIREMENT SOLUTIONS, LLC/DBA ISSAQUAH FINANCIAL; SAME AS BRANCH; INV REL; FIXED INSURANCE SALES; OWNER/PRESIDENT; START DATE=10/2008; HRS/MO=220; TRADING HRS/MO=100; DUTIES RELATED TO THE SALES AND SERVICE OF FIXED INSURANCE PRODUCTS * RENTAL PROPERTY; SAME AS BRANCH; NON-INV REL; RESIDENTIAL PROPERTY RENTAL; OWNER/PROPERTY MANAGER; START DATE=11/2016; HRS/MO=2; TRADING HRS/MO=1; OCCASIONAL LIGHT MAINTENANCE, TYPICAL PROPERTY MANAGEMENT DUTIES * Cooke Properties, LLC; same as branch; non-inv rel; rental property ownership; Managing Partner and Member; start date=02/2021; hrs/mo=2; trading hrs/mo=1; making decisions regarding property management, including hiring and firing of property managers (if necessary), act on behalf of the company and handling any management duties that might fall outside the prevue of the property management company * Stephen and Julia Cooke; non inv rel; same as residence; Residential Rental; Owner; start date=07/2023; hrs/mo=2; trading hrs/mo=1; Occasional light maintenance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen James Cooke'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®

CLU^®

Chartered Life Underwriter

Experience

Current

November 1, 2021 - Present

AMERITAS ADVISORY SERVICES, LLC

Office #1: 185 2nd Ave Se, Issaquah, WA 98027

RIA

CRD#: 317245

ISSAQUAH, WA

Current

March 5, 2020 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 185 2nd Ave Se, Issaquah, WA 98027

CRD#: 14869

Issaquah, WA

Past

March 5, 2020 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

Issaquah, WA

Past

February 16, 2018 - February 19, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ISSAQUAH, WA

Past

February 12, 2018 - February 19, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

ISSAQUAH, WA

Past

August 2, 2013 - February 15, 2018

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

ISSAQUAH, WA

Past

February 13, 2013 - February 15, 2018

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

ISSAQUAH, WA

Past

October 25, 2010 - December 21, 2012

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SEATTLE, WA

Past

May 10, 2010 - October 6, 2010

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

ISSAQUAH, WA

Past

June 22, 2006 - May 27, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

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".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 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

California
(3/5/2020)

Missouri
(5/14/2025)

Oregon
(3/5/2020)

Tennessee
(3/5/2020)

Texas
(4/29/2024)

IAR

Texas
(4/30/2024)

Washington
(3/5/2020)

IAR

Washington
(11/1/2021)

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 65

Date: 7/22/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 1/4/2016

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 6/21/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 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

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	Cover Page	Report

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

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen J. Cooke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen James Cooke's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

PRINCIPAL SECURITIES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2013

Series 63

Date: 8/8/2006

SIE

Date: 10/1/2018

Series 62

Date: 1/4/2016

Series 6

Date: 6/21/2006

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors