Richard L. 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.
Richard Lowry Cook was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - May 18, 2015
TLG ADVISORS, INC.
January 3, 2011 - May 18, 2015
THE LEADERS GROUP, INC.
July 9, 2009 - September 23, 2010
NEXT FINANCIAL GROUP, INC.
January 9, 2009 - September 23, 2010
NEXT FINANCIAL GROUP, INC.
December 12, 2007 - December 17, 2008
EPLANNING SECURITIES, INC.
October 16, 2003 - November 9, 2007
SECURITIES SERVICE NETWORK, LLC
May 2, 2000 - September 29, 2003
SECURITIES SERVICE NETWORK, LLC
May 25, 1993 - May 1, 2000
VOYA FINANCIAL ADVISORS, INC.
April 7, 1980 - May 10, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
March 6, 1975 - May 30, 1980
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/28/1975
Registered Representative ExaminationSeries 2
Date: 12/13/1974
Non-Member General Securities ExaminationCurrent Firm
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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