Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Cooper is a financial advisor with over 23 years of experience in the financial services industry. Douglas is currently registered with LPL Financial LLC. Prior to that, Douglas was registered with W&S Brokerage Services, Inc., Fifth Third Securities, Inc., and Fidelity Brokerage Services LLC. Douglas specializes in providing a wide range of financial services, including financial planning, portfolio management, and consulting. Douglas holds a Series 63, Series 66, Series 7, Series 9, Series 10, Series 24, SIE, and Series 99TO licenses.
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.
Consulting and other non-discretionary advisory services
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.
1
2
OH
08/02/2013 - Present
LPL Financial LLC (CINCINNATI OH)
OH
06/22/2012 - 07/22/2013
W&S BROKERAGE SERVICES, INC. (CINCINNATI OH)
OH
09/23/2008 - 06/21/2012
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
KY
09/10/1999 - 06/17/2008
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
BOTH
Issued 03/12/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/14/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/19/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/21/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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