Carla W. Cooper
Professional summary
Carla Wendy Cooper was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carla is a previously registered financial advisor and started their career in finance in 1977. Prior to being barred, Carla had worked at 13 firms, which includes CROWELL WEEDON & CO., FOSTER INVESTMENT CONSULTING LLC, THE SEIDLER COMPANIES INCORPORATED, SMART INVESTMENTS ADVISORY INCORPORATED, OPPENHEIMER ASSET MANAGEMENT, OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP., DB ALEX. BROWN LLC, ALEX. BROWN & SONS INCORPORATED, SUTRO & CO. INCORPORATED, WEDBUSH SECURITIES INC., MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, JEFFERIES EXECUTION SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2006 - August 6, 2010
CROWELL, WEEDON & CO.
December 6, 2006 - August 6, 2010
CROWELL, WEEDON & CO.
July 25, 2006 - December 7, 2006
FOSTER INVESTMENT CONSULTING LLC
February 25, 2004 - February 18, 2005
THE SEIDLER COMPANIES INCORPORATED
February 25, 2004 - December 7, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
December 8, 2003 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
April 15, 2003 - December 10, 2003
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - December 10, 2003
OPPENHEIMER & CO. INC.
March 24, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 29, 1997 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 1, 1997 - October 9, 1997
DB ALEX. BROWN LLC
January 22, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
December 20, 1988 - February 7, 1991
SUTRO & CO. INCORPORATED
November 23, 1988 - December 21, 1988
WEDBUSH SECURITIES INC.
July 26, 1980 - December 21, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
June 1, 1977 - August 11, 1980
JEFFERIES EXECUTION SERVICES, INC.
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
Current Firm
CROWELL, WEEDON & CO.
CRD#: 193 / SEC#: 801-67246, 8-3710
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMES, RALPH HERBERT | GENERAL PARTNER | 4399 |
| BELLESILES, JACQUES ERNEST | GENERAL PARTNER | 17599 |
| BLAND, DAVID LEE | GENERAL PARTNER | 1099854 |
| CARLSON, RODNEY CHARLES | GENERAL PARTNER | 2285986 |
| CHRISTOPHER, DOUGLAS ANDREA | GENERAL PARTNER | 1995432 |
| COUNCIL, WILLIAM MICHAEL | GENERAL PARTNER | 848504 |
| CRONK, JAMES LEE | GENERAL PARTNER/COO | 1104799 |
| CROWELL, ANDREW EDWARD | GENERAL PARTNER/CEO | 1288101 |
| CROWELL, DONALD WARREN JR | GENERAL PARTNER | 1320520 |
| DOUD, CHARLES OREILLY | GENERAL PARTNER | 70836 |
| DOUD, THOMAS JOSEPH | GENERAL PARTNER | 2758142 |
| DOUGHERTY, JAMES WEAVER | GENERAL PARTNER | 1620921 |
| DOYEL, DENNIS MICHAEL | GENERAL PARTNER | 1789529 |
| FUNG, EDDIE SHU | GENERAL PARTNER | 2622816 |
| GINSBERG, KLINDT EMIL | GENERAL PARTNER | 1846752 |
| GRIFFIN, ALAN MILES | GENERAL PARTNER | 853835 |
| GROSSMAN, ALAN JAY | GENERAL PARTNER | 1225441 |
| HALES, JOHN MORRIS | GENERAL PARTNER | 233868 |
| HARRIS, ROBERT CARROLL | GENERAL PARTNER | 1083781 |
| HASSAN, ROBERT HARRIS | GENERAL PARTNER | 833059 |
| HOOD, THOMAS JAMES | GENERAL PARTNER | 1297995 |
| JACKSON, STEVEN CHARLES | GENERAL PARTNER | 1358825 |
| KARANTONIS, ANTONIOS | GENERAL PARTNER / CFO | 2331154 |
| KRUGER, JAMES ROY | GENERAL PARTNER/CHIEF COMPLIANCE OFFICER | 1171805 |
| KURATOMI, LINDA KEIKO | GENERAL PARTNER | 1258198 |
| MORITZ, THOMAS ANDREW | GENERAL PARTNER | 1864800 |
| MULLIGAN, STEVEN JAMES | GENERAL PARTNER | 2372962 |
| OLEARY, JOSEPH LENNON | GENERAL PARTNER | 2357537 |
| PAULSON, THEODORE RUSSELL | GENERAL PARTNER | 358333 |
| RAGAN, JAMES DARRELL | GENERAL PARTNER | 1513433 |
| REITNOUER, JOHN FREDERICK | GENERAL PARTNER | 1796658 |
| REITNOUER, LYNN PAUL | GENERAL PARTNER | 373927 |
| ROBBINS, KENNETH WILLIAM | GENERAL PARTNER | 2588039 |
| SWANSON, SCOTT MICHAEL | GENERAL PARTNER | 2198688 |
| THOMAS, DANIEL SCOTT | GENERAL PARTNER | 2195656 |
| TODD, BLAKE TRAMILL | GENERAL PARTNER | 702561 |
| WEST, THOMAS WESLEY | GENERAL PARTNER | 1162385 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 9 |
Red Flags
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