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Detailed Report
BROCK JEFFREY COOPER
CRD#: 4082970
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2004 (4 years)IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2014 - Present (11 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2013 - Present (11 years)BING FINANCIAL PARTNERS, INC. (CRD# 2882)2004 - 2013 (9 years)
License(s)

State Registrations

B
Iowa 10/23/2013
IA
Iowa 1/8/2014

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
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
DES MOINES, IA
Registered with this firm since 1/8/2014
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
DES MOINES, IA
Registered with this firm since 10/23/2013
Previous Registration(s)
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B
 05/17/2004 - 10/11/2013 ING FINANCIAL PARTNERS, INC. (CRD#:2882) DES MOINES, IA
IA
 06/13/2000 - 05/07/2004 INVEST FINANCIAL CORPORATION (CRD#:12984) WEST DES MOINES, IA
B
 01/20/2000 - 05/07/2004 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
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.