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AC

Ashby M. Cook

MAPLEWOOD INVESTMENTS
Greensboro, NC 27408
Some features on this profile are disabled
CRD#: 52913
AC

Professional summary

Ashby Morris Cook JR is a registered financial professional currently at MAPLEWOOD INVESTMENTS, INC. located in Greensboro, North Carolina.

Ashby is registered as a RR (Registered Representative) and started their career in finance in 1973. Ashby has worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashby Morris Cook JR'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

August 4, 2025 - Present

MAPLEWOOD INVESTMENTS, INC.

Office #1: 1301 W Wendover #c, Greensboro, NC 27408
BD
CRD#: 103723
Greensboro, NC
Past

June 14, 2024 - August 6, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
GREENSBORO, NC
Past

December 16, 2015 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
GREENSBORO, NC
Past

November 30, 2015 - November 30, 2015

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

October 1, 1997 - December 18, 2015

OSAIC FS, INC.

BD
CRD#: 3870
GREENSBORO, NC
Past

August 5, 1987 - December 1, 1988

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

March 1, 1982 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

November 7, 1979 - January 19, 1982

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 2682
Past

February 20, 1973 - October 17, 1979

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

February 20, 1973 - October 17, 1979

OSAIC FA, INC.

BD
CRD#: 3978

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
Alabama
(8/4/2025)
RR
Colorado
(8/4/2025)
RR
Connecticut
(8/4/2025)
RR
Georgia
(8/4/2025)
RR
Maryland
(8/5/2025)
RR
Michigan
(8/4/2025)
RR
Minnesota
(8/4/2025)
RR
Missouri
(8/4/2025)
RR
New Jersey
(8/4/2025)
RR
New York
(8/4/2025)
RR
North Carolina
(8/6/2025)
RR
Pennsylvania
(8/4/2025)
RR
South Carolina
(8/4/2025)
RR
Virginia
(8/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 2/12/1973
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
MAPLEWOOD INVESTMENTS, INC.
MAPLEWOOD INVESTMENT ADVISORS, INC. | MAPLEWOOD INVESTMENTS, INC.

CRD#: 103723 / SEC#: , 8-52221

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
12222 Merit Dr Suite 1390, Dallas, TX 75251
Mailing Address
12222 Merit Dr Suite 1390, Dallas, TX 75251
Phone number
(214) 739-5677
Established
Texas since 11/08/1999
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAPLEWOOD HOLDINGS, LLCSOLE SHAREHOLDER
BESEK, CYNTHIA ELIZABETHSENIOR VICE-PRESIDENT/DIRECTOR/TREASURER(5/06)1669039
DOOLEY, DANIEL CLIFTONCEO/PRESIDENT/SROP/CROP/FINOP/DIRECTOR/MUNI PRIN1699483
MOORE, LAURIE MICHELECHIEF COMPLIANCE OFFICER2020784

Disclosures

Regulatory Event1

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

MAPLEWOOD INVESTMENTS, INC.

CRD#: 103723Greensboro, NC 27408

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