AC
Ann-marie Cooper
ALLSTATE FINANCIAL ADVISORS
Wilmington, NC 28412-2369
Some features on this profile are disabled
CRD#: 5620078
AC
Professional summary
Ann-marie Cooper, ChFC®, who also goes by Ann Marie Cooper, Ann Cooper, Ann Marie Hughes, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Wilmington, North Carolina and ALLSTATE FINANCIAL SERVICES, LLC located in Wilmington, North Carolina.
Ann-marie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ann-marie has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Marie Cooper | Ann Cooper | Ann Marie Hughes
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.
--ALC HOLDINGS, LLC 4837 CAROLINA BEACH RAD SUITE 112 WILMINGTON NC 28412 OWNER AGENCY LOCATION TIME DEVOTED 0% START DATE 12/01/2016 NOT INVESTMENT RELATED --COOPER, MCNEILL & ASSOCIATES, LLC POSITION: 50% NATURE: INSURANCE INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2003 ADDRESS: 101 Lanier Landing Ct, Carolina Beach NC 28428, United States DESCRIPTION: I am only servicing existing accounts. ---MASTER MARKETING POSITION: None provided NATURE: PRODUCE AN APPOINTMENT BOOK FOR AUTOMOTIVE INDUSTRY INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1995 ADDRESS: 101 Lanier Landing Ct, Carolina Beach NC 28428, United States DESCRIPTION: THESE BOOKS SALE THEMSELF. I SIMPLY BIND THEM AND MAIL THEM OUT TO DEALERS. TRAILING COMMISSION POSITION: Previous Agent NATURE: Trailing Commission INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2009 ADDRESS: 101 Lanier Landing Ct, Carolina Beach NC 28428, United States DESCRIPTION: no duties
CRS (Client Relationship Summary) - RIA
Click below to view Ann-marie 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®
Experience
Current
November 22, 2010 - Present
ALLSTATE FINANCIAL ADVISORS, LLC
Office #1: 4837 Carolina Beach Rd Ste 112, Wilmington, NC 28412-2369RIA
CRD#: 109524
Wilmington, NC
Current
December 8, 2008 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 4837 Carolina Beach Rd Ste 112, Wilmington, NC 28412-2369BD
CRD#: 18272
Wilmington, 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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
RIA
Registered Investment Advisory firm - (11/21/2007 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.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
Arizona(11/21/2016)
RR
Connecticut(7/19/2018)
RR
Delaware(2/6/2025)
RR
Florida(3/28/2016)
RR
Georgia(1/14/2011)
RR
Kentucky(2/3/2017)
RR
New Jersey(9/1/2009)
RR
New York(3/30/2020)
RR
North Carolina(12/15/2008)
IAR
North Carolina(11/22/2010)
RR
Oregon(6/7/2022)
RR
Pennsylvania(6/7/2022)
RR
South Carolina(2/4/2013)
RR
Tennessee(10/10/2017)
RR
Texas(10/17/2018)
RR
Utah(1/25/2023)
RR
Virginia(4/24/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
RIA
Registered Investment Advisory firm - (11/21/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
