Robert A Cooke Sr.
Professional Summary
Robert A Cooke Sr., who also goes by Bob A Cooke, Robert A Cooke, Robert Allen Cooke, is a registered financial advisor currently at BROXTON CAPITAL ADVISORS located in Memphis, Tennessee. Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Robert has worked at 13 firms and has passed the Series 65, Series 63, Series 31, Series 5, Series 7 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bob A Cooke, Robert A Cooke, Robert Allen Cooke
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
BROXTON CAPITAL ADVISORS | WESTWOOD ASSET MANAGEMENT, LLC | COOKE, ROOT & STEAD ASSET MANAGEMENT, LLC | BROXTON CAPITAL ADVISORS LLC
Contact Information
Main Address
151 Calle De San Francisco Suite 200, Old San Juan, PR 00901-1659Phone Number
(310) 208-2151# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
56AUM (Assets Under Management)
$28,983,310Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/7/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Apr 1984Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Robert A Cooke Sr.'s CRS (Customer Relationship Summary).
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