Individual Firm
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Cooper Randolph Woolson
Cooper Woolson
CRD#: 6443789
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 FRANKLIN RD SE
ROANOKE, VA 24011
ROANOKE, VA 24011
0
Disclosures
9
Years of Experience
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State Registrations
B
Arizona 3/10/2021
B
New Jersey 3/5/2020
B
Arkansas 3/8/2023
B
New Mexico 3/8/2023
B
California 3/8/2023
B
New York 3/8/2023
B
Colorado 9/15/2023
B
North Carolina 6/29/2018
B
Florida 11/22/2019
B
Ohio 3/8/2023
B
Georgia 6/29/2018
B
Pennsylvania 3/8/2023
B
Illinois 3/8/2023
B
South Carolina 3/8/2023
B
Kentucky 2/14/2020
B
Tennessee 3/8/2023
B
Maryland 3/8/2023
B
Texas 3/8/2023
B
Massachusetts 2/27/2024
IA
Texas 3/13/2023
B
Michigan 4/15/2020
B
Virginia 6/29/2018
B
Missouri 10/6/2023
IA
Virginia 6/29/2018
B
New Hampshire 6/29/2018
B
West Virginia 3/8/2023
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 6/29/2018
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Registered with this firm since 6/29/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/14/2015 - 07/03/2018 | ROCKY MOUNT, VA | |
B | 03/24/2015 - 07/03/2018 | ROCKY MOUNT, VA |
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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.