Robert A. Cooke Sr.

BROXTON CAPITAL ADVISORS

Memphis, TN

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CRD#: 704677

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob A Cooke | Robert A Cooke | Robert Allen Cooke

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.

DOOZY CARDS, LLC NON-INVESTMENT, 5225 W 2ND ST.LOS ANGELES, CA 90004 5-7 HRS PER WEEK. BROXTON CAPITAL ADVISORS 2-3 HRS PER WEEK DURING TRADING HOURS, HUDSON COOPER ASSET MGMT, INC. 4-6 HOURS/DAY DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert A Cooke Sr.'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®

None

Experience

Current

January 7, 2019 - Present

BROXTON CAPITAL ADVISORS

RIA

CRD#: 136914

Memphis, TN

Past

February 19, 2015 - May 16, 2017

BROXTON CAPITAL ADVISORS

RIA

CRD#: 136914

LOS ANGELES, CA

Past

January 14, 2014 - July 21, 2014

BMA SECURITIES, LLC

CRD#: 108219

EL SEGUNDO, CA

Past

April 20, 2012 - June 4, 2012

BROXTON CAPITAL ADVISORS

RIA

CRD#: 136914

OLD SAN JUAN, PR

Past

January 26, 2012 - January 1, 2022

HUDSON COOPER ASSET MANAGEMENT, INC.

RIA

CRD#: 159455

LOS ANGELES, CA

Past

March 23, 2010 - October 24, 2011

NATALLIANCE SECURITIES, LLC

CRD#: 39455

LOS ANGELES, CA

Past

April 15, 2008 - April 2, 2012

BROXTON CAPITAL ADVISORS

RIA

CRD#: 136914

LOS ANGELES, CA

Past

March 27, 2006 - May 1, 2007

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

LOS ANGELES, CA

Past

March 27, 2006 - April 1, 2008

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

LOS ANGELES, CA

Past

March 2, 2000 - April 11, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CENTURY CITY, CA

Past

January 11, 2000 - April 11, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 7, 1998 - January 19, 2000

IMPERIAL CAPITAL, LLC

CRD#: 43744

LOS ANGELES, CA

Past

January 20, 1993 - December 31, 1997

DABNEY/RESNICK/IMPERIAL, LLC

CRD#: 24367

BEVERLY HILLS, CA

Past

June 25, 1990 - January 20, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 13, 1988 - June 25, 1990

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

November 8, 1983 - June 21, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

June 16, 1982 - October 24, 1983

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

CRD#: 595

Past

February 22, 1980 - June 3, 1982

CALIFORNIA MUNICIPAL INVESTORS, INC.

CRD#: 7311

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.

Highlighted states indicate IAR registrations

IAR

California
(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

State Security Law Exam

IAR

Series 65

Date: 9/28/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/19/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 5

Date: 4/17/1984

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 2/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/6/1986

Municipal Securities Principal Examination

Current Firm

BROXTON CAPITAL ADVISORS

BROXTON CAPITAL ADVISORS | WESTWOOD ASSET MANAGEMENT, LLC | COOKE, ROOT & STEAD ASSET MANAGEMENT, LLC | BROXTON CAPITAL ADVISORS LLC

CRD#: 136914 / SEC#: 801-64689

RIA

Registered Investment Advisory firm - (8/28/2012 Terminated)

Arizona

Registered Investment Advisory firm - (11/19/2021 Terminated)

California

Registered Investment Advisory firm - (6/15/2012 Approved)

Puerto Rico

Registered Investment Advisory firm - (11/5/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

151 Calle De San Francisco Suite 200, Old San Juan, PR 00901-1659

Mailing Address

Phone number

(310) 208-2151

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 30,739,954

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.

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Firm Stability Insights

Robert A. Cooke Sr.

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert A Cooke Sr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

BROXTON CAPITAL ADVISORS

BMA SECURITIES, LLC

BROXTON CAPITAL ADVISORS

HUDSON COOPER ASSET MANAGEMENT, INC.

NATALLIANCE SECURITIES, LLC

BROXTON CAPITAL ADVISORS

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

IMPERIAL CAPITAL, LLC

DABNEY/RESNICK/IMPERIAL, LLC

CITIGROUP GLOBAL MARKETS INC.

SUTRO & CO. INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

CALIFORNIA MUNICIPAL INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/2007

Series 63

Date: 4/25/1984

Series 31

Date: 11/19/2004

Series 5

Date: 4/17/1984

Series 7

Date: 2/16/1980

Series 53

Date: 2/6/1986

Current Firm

BROXTON CAPITAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROXTON CAPITAL ADVISORS

TRUST BUT VERIFY

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