Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brent? Claim Your ProfileBrent Cooper is a financial advisor with over 20 years of experience in the industry. Brent is currently registered with UBS Financial Services Inc. as a Registered Representative. Previously, Brent was a Registered Representative for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and WELLS FARGO FUNDS DISTRIBUTOR, LLC. Brent is licensed in 53 states and has passed several industry exams including the Series 6, 7, 10, 24, 62, 63, 66, and 79TO. Brent's specializations include portfolio management for businesses and individuals, as well as financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TN
05/19/2022 - Present
UBS Financial Services Inc. (NASHVILLE TN)
KS
04/09/2015 - 04/25/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LEAWOOD KS)
NC
05/10/2012 - 03/31/2015
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
KS
06/28/2010 - 09/02/2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (OVERLAND PARK KS)
TX
06/01/2010 - 06/04/2010
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
TX
05/03/2004 - 06/01/2010
VAN KAMPEN FUNDS INC. (HOUSTON TX)
NY
11/15/2000 - 05/05/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/17/1994 - 08/18/1994
THE GREAT-WEST LIFE ASSURANCE COMPANY
BOTH
Issued 06/27/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/20/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/03/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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