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Robert William Cook

Robert W. Cook

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CRD#: 7036021
Robert William Cook

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.

Robert William Cook, CFP®, who also goes by Rob Cook, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2019. Robert had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Cook

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. Name: Contenders Wanted Investment-Related: No. Address: private residence Nature: podcast and life coaching Position/Title: sole proprietor Start: 08/26/2020 Hours/Month: 24 Hours during Market Hours: 1 Duties: trainer and coach 2. Name: California Land and Farm Investment-Related: No. Address: private residence Nature: flip real estate, some hold long-term Position/Title: Partner Start: 04/05/2021 Hours/Month: 12 Hours during Market Hours: 0 Duties: source properties, operations 3. Name: Dream Chasers Investment-Related: No. Address: none Nature: career and life advice networking group Position/Title: Member, Board of Advisors Start: 03/02/2021 Hours/Month: 3 Hours during Market Hours: 1 Duties: mentoring and support on as needed basis to members 4. Name: City of Rocklin Investment-Related: No. Address: 3970 Rocklin Rd., Rocklin CA 95677 Nature: volunteer on outside investment advisory committee Position/Title: volunteer Start: 09/03/2021 Hours/Month: 1 Hours during Market Hours: 0 Duties: consult semi-annually with City Treasurer and City Board Members related to how city invests funds for upcoming 6 months.

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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Past

February 18, 2021 - April 19, 2022

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
Sacramento, CA
Past

February 16, 2021 - April 19, 2022

CAPTRUST

RIA
CRD#: 175112
Sacramento, CA
Past

June 21, 2019 - February 9, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
SACRAMENTO, CA

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
RR
IAR
Series 66
Date: 6/29/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/21/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2019
Securities Industry Essentials Examination

Current Firm

CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC

CRD#: 126291 / SEC#: , 8-65870

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

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