Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ARTHUR YOUNG COOPER
CRD#: 1850883
IA
Investment Adviser
B
Broker
COOPER MCMANUSCRD#: 111458 9870 RESEARCH DRIVE
IRVINE, CA 92618
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 9870 Research Dr.
Irvine, CA 92618
Registration History
199019952000200520102015202020252 FIRMS1990 - 1997 (6 years)2 FIRMS1997 - 1998 (1 year)IACOOPER MCMANUS (CRD# 111458)2000 - Present (25 years)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2020 - Present (5 years)BSECURITIES AMERICA, INC. (CRD# 10205)1998 - 2020 (21 years)BFIRST AMERICAN NATIONAL SECURI... (CRD# 10111)1988 - 1990 (2 years)IAGAINSBOROUGH FINANCIAL CONSULT... (CRD# 124990)2011 - 2012 (1 year)
Disclosure(s)
View By:
9/14/2010
Customer Dispute
Settled
9/1/2005
Customer Dispute
Denied
License(s)

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
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COOPER MCMANUS (CRD#:111458)
9870 RESEARCH DRIVE, IRVINE, CA 92618
Registered with this firm since 1/25/2000
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
9870 Research Dr., Irvine, CA 92618
1776 PLEASANT PLAIN RD., FAIRFIELD, IA 52556-8757
Registered with this firm since 3/27/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/16/1998 - 03/27/2020 SECURITIES AMERICA, INC. (CRD#:10205) IRVINE, CA
IA
 05/13/2011 - 12/31/2012 GAINSBOROUGH FINANCIAL CONSULTANTS, INC. (CRD#:124990) LOS ANGELES, CA
B
 09/02/1997 - 12/09/1998 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
B
 08/29/1997 - 12/09/1998 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
 10/23/1990 - 09/12/1997 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 10/23/1990 - 09/12/1997 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 08/03/1988 - 11/07/1990 FIRST AMERICAN NATIONAL SECURITIES, INC. (CRD#:10111) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.