Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aloysius Cooper is an investment professional who has been in the industry for over 38 years. James is currently registered with LPL Financial LLC and has been with the firm since July 2021. Prior to that, James worked at UBS Financial Services INC. from October 2007 to August 2021. James has a broad range of experience in the financial services industry, including working with high net worth individuals, corporations, and other businesses. James holds a Series 7, Series 31, and SIE license. James is registered in the following states: Arizona, California, Colorado, Connecticut, District of Columbia, Massachusetts, Michigan, New Jersey, New Mexico, New York, Pennsylvania, Rhode Island, and Texas.
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.
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2
CO
07/17/2021 - Present
LPL Financial LLC (EAGLE CO)
CO
10/12/2007 - 08/09/2021
UBS FINANCIAL SERVICES INC. (DENVER CO)
CO
06/16/1994 - 10/22/2007
CITIGROUP GLOBAL MARKETS INC. (DENVER CO)
NJ
02/12/1993 - 07/05/1994
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
11/01/1978 - 01/19/1987
E. F. HUTTON & COMPANY INC
BC
Issued 09/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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