SC
Seth Cooper
EVERCORE GROUP L.L.C.
New York, NY 10055
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CRD#: 6967931
SC
Professional summary
Seth Cooper, who also goes by Seth Walters Cooper, is a registered financial professional currently at EVERCORE GROUP L.L.C. located in New York, New York.
Seth is registered as a RR (Registered Representative) and started their career in finance in 2019. Seth has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Seth Walters 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.
CRS (Client Relationship Summary) - BD
Click below to view Seth 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®
NoneExperience
Current
January 19, 2021 - Present
EVERCORE GROUP L.L.C.
Office #1: 55 East 52nd Street, New York, NY 10055BD
CRD#: 42405
New York, NY
Past
August 14, 2019 - January 15, 2021
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/19/2021)
RR
Alaska(1/19/2021)
RR
Arizona(1/19/2021)
RR
Arkansas(2/4/2022)
RR
California(1/19/2021)
RR
Colorado(1/19/2021)
RR
Connecticut(1/19/2021)
RR
District of Columbia(1/19/2021)
RR
Florida(1/19/2021)
RR
Georgia(1/19/2021)
RR
Illinois(1/19/2021)
RR
Indiana(2/4/2022)
RR
Kansas(2/4/2022)
RR
Kentucky(2/4/2022)
RR
Louisiana(1/19/2021)
RR
Maryland(2/4/2022)
RR
Massachusetts(1/19/2021)
RR
Michigan(2/4/2022)
RR
Missouri(2/4/2022)
RR
Montana(1/19/2021)
RR
New Hampshire(2/4/2022)
RR
New Jersey(1/19/2021)
RR
New York(1/19/2021)
RR
North Carolina(1/19/2021)
RR
Ohio(1/20/2021)
RR
Oklahoma(2/4/2022)
RR
Oregon(1/19/2021)
RR
Pennsylvania(1/19/2021)
RR
Puerto Rico(2/4/2022)
RR
Rhode Island(1/19/2021)
RR
South Carolina(1/24/2024)
RR
Texas(1/19/2021)
RR
Utah(2/4/2022)
RR
Virginia(1/19/2021)
RR
Washington(1/19/2021)
RR
West Virginia(2/4/2022)
RR
Wisconsin(2/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 8/14/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
EG
EVERCORE GROUP L.L.C.
EVERCORE GROUP INC. | EVERCORE PARTNERS INC. | EVERCORE ISI | EVERCORE INC. | EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 East 52nd Street, New York, NY 10055
Mailing Address
55 East 52nd Street, New York, NY 10055
Phone number
(212) 857-3100
Established
Delaware since 04/19/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
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.
