Malcolm L. Cooper
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.
Malcolm Lane Cooper, who also goes by Malcolm L Cooper, was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1964. Malcolm had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - August 3, 2020
CFM WEALTH PARTNERS LLC
November 12, 2012 - October 1, 2019
STEPHENS
November 12, 2012 - October 1, 2019
STEPHENS
March 2, 1998 - December 10, 2012
RBC CAPITAL MARKETS, LLC
January 2, 1998 - December 10, 2012
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 2, 1989 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
August 7, 1984 - October 30, 1989
KIDDER, PEABODY & CO. INCORPORATED
September 6, 1973 - July 27, 1984
ROTAN MOSLE INC.
November 2, 1964 - September 29, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CFM WEALTH PARTNERS LLC
CRD#: 305135 / SEC#: 801-117390
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: 10/30/1964
Registered Representative ExaminationSeries 12
Date: 8/14/1973
NYSE Branch Manager ExaminationSeries 00
Date: 9/20/1971
General Securities Principal ExaminationCurrent Firm
CFM WEALTH PARTNERS LLC
CRD#: 305135 / SEC#: 801-117390
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 656 |
| AUM (Assets Under Management) | $ 760,860,746 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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