Richard E. Cooke
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Edward Cooke, who also goes by Dick Cooke, Richard E Cooke, Richard Edward Cooke Mr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - February 1, 2013
J.P. TURNER & COMPANY, L.L.C.
March 26, 2010 - December 31, 2010
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
March 26, 2010 - December 31, 2010
J.P. TURNER & COMPANY, L.L.C.
August 11, 2009 - March 30, 2010
GUNNALLEN FINANCIAL, INC
August 3, 2009 - March 30, 2010
GUNNALLEN FINANCIAL, INC
January 1, 2001 - April 20, 2007
FINANCIAL PLANNING STRATEGIES, INC.
October 15, 1990 - November 15, 1990
MONY SECURITIES CORPORATION
March 25, 1987 - August 3, 2009
THE O.N. EQUITY SALES COMPANY
February 2, 1979 - October 15, 1986
WOODBURY FINANCIAL SERVICES, INC.
July 26, 1973 - January 6, 1982
MONY SECURITIES CORPORATION
July 26, 1973 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/20/1973
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
