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
Cynthia Diane Cooper
CYNTHIA DIANE ALLEN, CYNTHIA ALLEN, CYNTHIA DIANE TRACY
CRD#: 6023402
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 915 55TH ST SUITE 100
WESTERN SPRINGS, IL 60558-2218
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2015 - Present (9 years)BSANDERS MORRIS HARRIS INC. (CRD# 20580)2014 - 2015 (1 year)
License(s)

State Registrations

B
Alaska 8/11/2023
B
Nebraska 12/5/2023
B
Arizona 8/31/2021
B
Nevada 10/19/2020
B
California 10/5/2016
B
New Hampshire 9/6/2022
B
Colorado 1/19/2016
B
New Jersey 5/11/2020
B
Florida 3/2/2016
B
New Mexico 4/4/2016
B
Georgia 7/14/2021
B
New York 11/4/2016
B
Illinois 8/31/2015
B
North Carolina 11/7/2016
IA
Illinois 11/13/2015
B
Oregon 3/8/2024
B
Indiana 1/14/2016
B
South Carolina 1/11/2017
B
Iowa 1/10/2025
B
Tennessee 4/4/2016
B
Kentucky 9/29/2021
B
Texas 3/14/2017
B
Maryland 1/26/2023
IA
Texas 1/15/2019
B
Massachusetts 1/26/2023
B
Virginia 10/4/2016
B
Michigan 12/22/2020
B
Washington 1/3/2022
B
Minnesota 1/8/2025
B
Wisconsin 1/4/2016
B
Missouri 1/26/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
EDWARD JONES (CRD#:250)
915 55TH ST SUITE 100, WESTERN SPRINGS, IL 60558-2218
Registered with this firm since 11/13/2015
B
EDWARD JONES (CRD#:250)
915 55TH ST SUITE 100, WESTERN SPRINGS, IL 60558-2218
Registered with this firm since 8/31/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/24/2014 - 08/21/2015 SANDERS MORRIS HARRIS INC. (CRD#:20580) OAK BROOK, IL
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.