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
NANCY WRIGHT COOPER
CRD#: 2411995
IA
Investment Adviser
B
Previous Broker
TOPEL & DISTASI WEALTH MANAGEMENT, LLCCRD#: 285538 2907 CLAREMONT AVENUE, SUITE 111
BERKELEY, CA 94705
Registration History
19952000200520102015202020252 FIRMS1997 - 1997 (<1 year)IATOPEL & DISTASI WEALTH MANAGEM... (CRD# 285538)2019 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2007 - 2018 (10 years)BTHORNBURG SECURITIES CORPORATION (CRD# 14857)2006 - 2007 (1 year)BNORTH POINT ADVISORS, LLC (CRD# 133300)2005 - 2006 (1 year)BPIPER JAFFRAY & CO. (CRD# 665)2002 - 2004 (1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)2001 - 2001 (<1 year)BWELLS FARGO VAN KASPER, LLC (CRD# 7665)1999 - 2001 (1 year)BTHE SHEMANO GROUP, INC. (CRD# 35528)1999 - 1999 (<1 year)BVAN KASPER & COMPANY (CRD# 7665)1997 - 1999 (1 year)BCRUTTENDEN ROTH INCORPORATED (CRD# 15407)1996 - 1997 (<1 year)BPIPER JAFFRAY INC. (CRD# 665)1996 - 1996 (<1 year)BTHORNBURG SECURITIES CORPORATION (CRD# 14857)1994 - 1996 (1 year)IADEYOE WEALTH MANAGEMENT, INC. (CRD# 170130)2014 - 2019 (5 years)
Disclosure(s)
View By:
6/18/2004
Employment Separation After Allegations
License(s)

State Registrations

IA
California 1/28/2019
Current Registration(s)
IA
TOPEL & DISTASI WEALTH MANAGEMENT, LLC (CRD#:285538)
2907 CLAREMONT AVENUE, SUITE 111, BERKELEY, CA 94705
Registered with this firm since 1/28/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/10/2014 - 01/25/2019 DEYOE WEALTH MANAGEMENT, INC. (CRD#:170130) BERKELEY, CA
B
 10/22/2007 - 04/09/2018 LPL FINANCIAL LLC (CRD#:6413) BERKELEY, CA
B
 10/30/2006 - 10/01/2007 THORNBURG SECURITIES CORPORATION (CRD#:14857) SANTA FE, NM
B
 07/04/2005 - 10/24/2006 NORTH POINT ADVISORS, LLC (CRD#:133300) SAN FRANCISCO, CA
B
 09/06/2002 - 07/16/2004 PIPER JAFFRAY & CO. (CRD#:665) MINNEAPOLIS, MN
B
 06/28/2001 - 09/06/2001 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
 09/01/1999 - 07/17/2001 WELLS FARGO VAN KASPER, LLC (CRD#:7665) SAN FRANCISCO, CA
B
 05/11/1999 - 09/28/1999 THE SHEMANO GROUP, INC. (CRD#:35528) SAN FRANCISCO, CA
B
 09/15/1997 - 03/08/1999 VAN KASPER & COMPANY (CRD#:7665) SAN FRANCISCO, CA
B
 03/21/1997 - 12/02/1997 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 06/05/1997 - 09/12/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 09/13/1996 - 02/14/1997 CRUTTENDEN ROTH INCORPORATED (CRD#:15407) NEWPORT BEACH, CA
B
 04/25/1996 - 09/23/1996 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
 09/26/1994 - 05/08/1996 THORNBURG SECURITIES CORPORATION (CRD#:14857) SANTA FE, NM
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.