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DANIEL VINCENT COOK
DAN COOK
CRD#: 1460432
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 5353 SCOTTS VALLEY DRIVE
SUITE A
SCOTTS VALLEY, CA 95066
SUITE A
SCOTTS VALLEY, CA 95066
0
Disclosures
37
Years of Experience
View By:
State Registrations
B
California 12/10/2003
B
Nevada 12/15/2020
IA
California 4/2/2004
IA
Nevada 12/16/2020
B
Hawaii 8/27/2024
B
Ohio 1/31/2025
IA
Hawaii 8/27/2024
IA
Ohio 1/31/2025
B
Idaho 1/12/2021
B
Oregon 10/26/2012
IA
Idaho 1/12/2021
IA
Oregon 10/29/2012
B
Iowa 6/19/2024
B
Washington 4/18/2017
IA
Iowa 6/19/2024
IA
Washington 4/18/2017
SRO Registrations
B
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IA
Registered with this firm since 4/2/2004
B
Registered with this firm since 11/26/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/30/2001 - 09/12/2002 | HOUSTON, TX | |
B | 01/01/1999 - 04/05/2002 | HOUSTON, TX | |
B | 06/30/1988 - 12/31/2001 | HOUSTON, TX | |
B | 01/04/1988 - 06/21/1988 | ||
B | 02/19/1986 - 01/07/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.