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JC

James C. Cooper

Some features on this profile are disabled
CRD#: 6362095
JC

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.

James Chris Cooper, who also goes by Chris Cooper, James Christopher Cooper, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2014. James had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Cooper | James Christopher 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 21, 2018 - April 23, 2019

LEXAURUM ADVISORS

RIA
CRD#: 283653
North Kansas City, MO
Past

January 17, 2018 - October 3, 2018

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
NORTH KANSAS CITY, MO
Past

November 21, 2017 - October 3, 2018

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
NORTH KANSAS CITY, MO
Past

May 25, 2017 - October 10, 2017

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
OVERLAND PARK, KS
Past

October 20, 2016 - October 10, 2017

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
OVERLAND PARK, KS
Past

January 22, 2015 - October 3, 2016

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
OVERLAND PARK, KS
Past

October 15, 2014 - December 22, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
KANSAS CITY, MO

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".
LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP

CRD#: 283653 / SEC#: 801-107738

RIA
Registered Investment Advisory firm - (5/10/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/15/2014
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/22/2015
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/20/2015
Investment Company Products/Variable Contracts Principal Examination

Current Firm

LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP

CRD#: 283653 / SEC#: 801-107738

RIA
Registered Investment Advisory firm - (5/10/2016 Approved)
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Contact information

Main Address
16010 Metcalf Avenue, Suite 101, Overland Park, KS 66085
Mailing Address
Phone number
(913) 261-9316
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEXAURUM ADVISORS, LLC - ADV PART 2A (3/26/2025) (3/26/2025)

Regulatory assets under management

Total Number of Accounts4,641
AUM (Assets Under Management)$ 1,006,435,215

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.

Company Information

LEXAURUM ADVISORS

CRD#: 283653

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