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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock David Cooper is a financial advisor currently registered with Morgan Stanley in Saginaw, MI. Brock David Cooper has been in the industry since 2006 and is licensed in 53 states and jurisdictions. Brock David Cooper is a registered representative of Morgan Stanley and an investment advisor representative of Morgan Stanley Smith Barney, LLC. Brock David Cooper's previous employers include TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, MORGAN STANLEY SMITH BARNEY, and CITIGROUP GLOBAL MARKETS INC..
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MI
05/22/2018 - Present
Morgan Stanley (Saginaw MI)
MI
03/10/2016 - 06/23/2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (EAST LANSING MI)
MI
06/09/2011 - 02/26/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EAST LANSING MI)
MI
06/01/2009 - 11/06/2009
MORGAN STANLEY SMITH BARNEY (EAST LANSING MI)
MI
03/07/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (EAST LANSING MI)
VT
03/19/2001 - 05/14/2003
EQUITY SERVICES, INC. (MONTPELIER VT)
BOTH
Issued 06/30/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/08/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 03/05/2007
Series 7 - General Securities Representative Examination
BC
Issued 03/16/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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