Ann A. Cooper
LEGACY FINANCIAL GROUP
Torrance, CA 90502
Some features on this profile are disabled
CRD#: 6236774
Professional summary
Ann Abel Cooper, CFP®, who also goes by Ann Lewis Abel, Ann Cooper, is a registered financial advisor currently at LEGACY FINANCIAL GROUP located in Torrance, California and OSAIC WEALTH, INC. located in Torrance, California.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Ann has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Lewis Abel | Ann Cooper
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) ANN COOPER POSITION: Salesperson NATURE: No business structure INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2014 ADDRESS: 19191 South Vermont, Suite 100, Torrance, CA 90502 DESCRIPTION: Research insurance and annuity information for clients. Present insurance and annuity information to clients when applicable. 2) LEGACY FINANCIAL GROUP POSITION: Investment Advisor NATURE: Investment Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/07/2015 ADDRESS: 19191 South Vermont, Suite 100, Torrance, CA 90502 DESCRIPTION: Working as an investment advisor to clients with advisory accounts 3) LEGACY FINANCIAL GROUP POSITION: Investment Advisor NATURE: Investment Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/07/2015 ADDRESS: 19191 S. Vermont Ave. Suite 100, Torrance CA 90502, United States DESCRIPTION: Working as an investment advisor to clients with advisory accounts 4) ANN COOPER POSITION: Salesperson NATURE: No business structure INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2014 ADDRESS: 19191 S. Vermont Ave., Suite 100, Torrance CA 90502, United States DESCRIPTION: Research insurance and annuity information for clients. Present insurance and annuity information to clients when applicable. 5) SALLY GILLILAN TRUST POSITION: Co-Trustee NATURE: I am the co-trustee on my mother's trust account. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 5012 Sharynne Lane, Torrance CA 90505, United States DESCRIPTION: Review my mother's account monthly and answer any questions she might have.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Abel 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®
CFP®
Start date: 2015
Experience
Current
January 7, 2015 - Present
LEGACY FINANCIAL GROUP
Office #1: 19191 South Vermont Suite 100, Torrance, CA 90502RIA
CRD#: 115901
Torrance, CA
Current
September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 19191 S. Vermont Suite 100, Torrance, CA 90502RIA
BD
CRD#: 23131
Torrance, CA
Past
September 5, 2013 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
TORRANCE, CA
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(9/1/2023)
IAR
California(1/7/2015)
RR
California(9/1/2023)
RR
Colorado(9/1/2023)
RR
Florida(9/1/2023)
RR
Georgia(9/1/2023)
RR
Hawaii(9/1/2023)
RR
Illinois(9/1/2023)
RR
Nevada(9/1/2023)
RR
Oregon(9/1/2023)
RR
Washington(9/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LEGACY FINANCIAL GROUP
LEGACY FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC
CRD#: 115901 / SEC#: 801-113145
RIA
Registered Investment Advisory firm - (9/28/2020 Terminated)Arizona
Registered Investment Advisory firm - (9/9/2021 Approved)California
Registered Investment Advisory firm - (5/29/2020 Approved)Illinois
Registered Investment Advisory firm - (8/18/2021 Approved)Nevada
Registered Investment Advisory firm - (9/14/2023 Approved)Texas
Registered Investment Advisory firm - (4/6/2020 Conditional Restricted)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
19191 South Vermont Suite 100, Torrance, CA 90502
Mailing Address
Phone number
(310) 756-1700
Established
Firm type
Fiscal year end
# of Employees
7
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 22,850,652 |
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.
