BC
Billie C. Cook
FINANCIAL FOCUS LLC
CARLSBAD, CA 92008
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CRD#: 6016363
BC
Professional summary
Billie Carl Cook, CFP® is a registered financial advisor currently at FINANCIAL FOCUS LLC located in Carlsbad, California and OSAIC WEALTH, INC. located in Carlsbad, California.
Billie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Billie has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Osaic Wealth, Inc.; Broker Dealer; Registered Representative; 06/2024; 10/MO; 10/MO 2) Billie Cook, sole proprietor; Yes; INSURANCE SALES POSITION: Insurance Sales NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2023 ADDRESS: 1917 Palomar Oaks Way, #130, Carlsbad CA92008 DESCRIPTION: Provide insurance for clients as part of their financial plan. Typically, this includes term insurance and long-term care, and/or disability insurance, depending on the age of the client. Very rarely for estate planning, putting in place permanent or UL products to help mitigate estate taxes. 3) FINANCIAL FOCUS LLC POSITION: Financial Advisor NATURE: Investment advisory business through Financial Focus LLC RIAINVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 11/01/2023 ADDRESS: 1917 Palomar Oaks Rd, #130, Carlsbad CA 92008DESCRIPTION: Advisory business held with Financial Focus LLC RIA custodian through Charles Schwab 4) CROSSINGS AT CARLSBAD GOLF CLUB POSITION: Board member - Rules/Handicap committee NATURE: Non- Profit INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2025 ADDRESS: 5800 the crossings Dr, Carlsbad CA 92008, United States DESCRIPTION: Meet monthly with other fellow board members. Interpret any rules/handicap discrepancies. Enforce Handicap/rules adopted by the club for weekly golf tournaments
CRS (Client Relationship Summary) - RIA
Click below to view Billie Carl Cook'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®
CFP®
Start date: 2018
Experience
Current
October 31, 2023 - Present
FINANCIAL FOCUS LLC
Office #1: 1925 Palomar Oaks Way #107, Carlsbad, CA 92008RIA
CRD#: 282177
CARLSBAD, CA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1925 Palomar Oaks Way Suite 107, Carlsbad, CA 92008RIA
BD
CRD#: 23131
CARLSBAD, CA
Past
October 31, 2023 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CARLSBAD, CA
Past
September 1, 2023 - November 2, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
CARLSBAD, CA
Past
September 1, 2023 - November 2, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
CARLSBAD, CA
Past
August 6, 2015 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
CARLSBAD, CA
Past
August 5, 2015 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
CARLSBAD, CA
Past
September 4, 2014 - August 7, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAN DIEGO, CA
Past
October 30, 2012 - August 7, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN DIEGO, 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".
FF
FINANCIAL FOCUS LLC
FINANCIAL FOCUS LLC
CRD#: 282177 / SEC#: 801-112408
RIA
Registered Investment Advisory firm - (2/8/2018 Approved)California
Registered Investment Advisory firm - (3/10/2018 Terminated)New York
Registered Investment Advisory firm - (2/8/2018 Terminated)Texas
Registered Investment Advisory firm - (2/8/2018 Terminated)Washington
Registered Investment Advisory firm - (2/15/2018 Terminated)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(6/14/2024)
IAR
California(10/31/2023)
RR
California(6/14/2024)
RR
Idaho(6/14/2024)
RR
Maryland(6/14/2024)
RR
North Carolina(6/14/2024)
RR
Oregon(6/14/2024)
IAR
Texas(10/31/2023)
RR
Texas(6/14/2024)
RR
Virginia(6/14/2024)
RR
Washington(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FINANCIAL FOCUS LLC
FINANCIAL FOCUS LLC
CRD#: 282177 / SEC#: 801-112408
RIA
Registered Investment Advisory firm - (2/8/2018 Approved)California
Registered Investment Advisory firm - (3/10/2018 Terminated)New York
Registered Investment Advisory firm - (2/8/2018 Terminated)Texas
Registered Investment Advisory firm - (2/8/2018 Terminated)Washington
Registered Investment Advisory firm - (2/15/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1925 Palomar Oaks Way #107, Carlsbad, CA 92008
Mailing Address
Phone number
(760) 431-3040
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 482 |
| AUM (Assets Under Management) | $ 453,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
