EC
Eric W. Cooper
CETERA INVESTMENT ADVISERS LLC
SIMI VALLEY, CA
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CRD#: 5215674
EC
Professional summary
Eric William Cooper, who also goes by Eric Cooper, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Simi Valley, California.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Eric has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Cooper
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.
1) WINTHER & CO 3325 COCHRAN ST ~SUITE 106~SIMI VALLEY~CA~93063~TAX PREPARATION/ACCOUNTING~SALES ASSOCIATE/EXECUTIVE~2/2008~120HRS~0HRS~PROVIDE FINANCIAL SERVICES TO CLIENTS 2) AVANTAX INSURANCE AGENCYSM AND AVANTAX INSURANCE SERVICESSM POSITION: Insurance Agen NATURE: Meetings with clients and discuss insurance options. INVESTMENT RELATED: Yes NUMBER OF HOURS: 176 SECURITIES TRADING HOURS: 130 START DATE: 11/03/2021 ADDRESS: 1871 Tapo St, Simi Valley CA 93063, DESCRIPTION: Responsibilities in regard to insurance, I provide clients with Insurance options upon request or while planning financial future. Keeping in mind the client's goals.
CRS (Client Relationship Summary) - RIA
Click below to view Eric William 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SIMI VALLEY, CA
Past
February 21, 2013 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SIMI VALLEY, CA
Past
April 1, 2008 - March 15, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Simi Valley, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
