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David Cook

Barclays Capital Inc.

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About David Cook

David Cook is an investment professional with over 20 years of experience in the financial services industry. Currently registered with Barclays Capital Inc., David's career includes previous roles at Sandler, O'Neill & Partners, L.P., Brean Capital, LLC, and Lehman Brothers Inc. David holds the Series 7, Series 63, Series 79TO and SIE licenses, demonstrating his expertise in investment banking and securities trading. David's commitment to providing comprehensive financial guidance has earned him recognition and trust within the industry.

Firm Information

David Cook is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Cook’s Registration & Firm History

MA

05/31/2019 - Present

Barclays Capital Inc. (BOSTON MA)

MA

02/04/2015 - 05/07/2019

SANDLER, O'NEILL & PARTNERS, L.P. (BOSTON MA)

MA

05/01/2014 - 02/03/2015

BREAN CAPITAL, LLC (BOSTON MA)

NY

09/22/2008 - 02/27/2014

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

01/02/2003 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/28/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/29/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Cook.
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