Individual Firm
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ARTHUR YOUNG COOPER
CRD#: 1850883
IA
B
COOPER MCMANUSCRD#: 111458 9870 RESEARCH DRIVE
IRVINE, CA 92618
IRVINE, CA 92618
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 9870 Research Dr.
Irvine, CA 92618
Irvine, CA 92618
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9/14/2010
Customer Dispute
Settled
9/1/2005
Customer Dispute
Denied
State Registrations
B
Alabama 3/30/2020
B
Nebraska 3/27/2020
B
Alaska 3/27/2020
B
Nevada 3/27/2020
B
Arizona 3/27/2020
B
New Hampshire 3/30/2020
B
Arkansas 3/27/2020
B
New Jersey 3/27/2020
IA
California 1/25/2000
B
New Mexico 3/27/2020
B
California 3/27/2020
B
New York 3/27/2020
B
Colorado 3/27/2020
B
North Carolina 3/30/2020
B
Connecticut 3/27/2020
B
North Dakota 3/27/2020
B
Delaware 3/27/2020
B
Ohio 3/27/2020
B
District of Columbia 3/27/2020
B
Oklahoma 3/27/2020
B
Florida 3/27/2020
B
Oregon 3/27/2020
B
Georgia 4/3/2020
B
Pennsylvania 3/27/2020
B
Hawaii 3/27/2020
B
Puerto Rico 3/27/2020
B
Idaho 3/27/2020
B
Rhode Island 3/27/2020
B
Illinois 8/4/2020
B
South Carolina 3/27/2020
B
Indiana 4/7/2020
B
South Dakota 3/27/2020
B
Iowa 3/27/2020
B
Tennessee 3/27/2020
B
Kansas 3/27/2020
IA
Texas 9/8/2006
B
Kentucky 3/27/2020
B
Texas 3/27/2020
B
Louisiana 3/27/2020
B
Utah 3/27/2020
B
Maine 3/27/2020
B
Vermont 3/27/2020
B
Maryland 3/27/2020
B
Virgin Islands 1/2/2025
B
Massachusetts 4/30/2020
B
Virginia 3/27/2020
B
Michigan 3/27/2020
B
Washington 3/27/2020
B
Minnesota 3/27/2020
B
West Virginia 3/27/2020
B
Mississippi 3/27/2020
B
Wisconsin 3/27/2020
B
Missouri 3/27/2020
B
Wyoming 3/27/2020
B
Montana 3/27/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/25/2000
B
Registered with this firm since 3/27/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/16/1998 - 03/27/2020 | IRVINE, CA | |
IA | 05/13/2011 - 12/31/2012 | LOS ANGELES, CA | |
B | 09/02/1997 - 12/09/1998 | FORT WAYNE, IN | |
B | 08/29/1997 - 12/09/1998 | FORT WAYNE, IN | |
B | 10/23/1990 - 09/12/1997 | MINNEAPOLIS, MN | |
B | 10/23/1990 - 09/12/1997 | MINNEAPOLIS, MN | |
B | 08/03/1988 - 11/07/1990 | DULUTH, GA |
LOS ANGELES, CA
05/13/2011 - 12/31/2012
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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.