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James Donald Cooke

Advisors Asset Management, Inc.

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About James Donald Cooke

James Donald Cooke is a financial advisor with over 20 years of experience in the financial services industry. James is currently registered with Advisors Asset Management, Inc., a firm that provides a variety of investment services to individual and institutional clients. Prior to joining Advisors Asset Management, James worked for other firms including INCAPITAL LLC, Sentinel Brokers Company, Inc., R.W. Smith & Associates, Inc. and Duncan-Williams, Inc.. James holds the Series 7, Series 52TO, Series 53, and Series 63 licenses. James is located in Lisle, IL and has been a registered representative since 2003.

Firm Information

James Cooke is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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percentage of assets

A percentage of the total value of assets under management is charged.

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James Cooke’s Registration & Firm History

IL

09/18/2015 - Present

Advisors Asset Management, Inc. (LISLE IL)

FL

11/27/2013 - 08/10/2015

INCAPITAL LLC (DELRAY BEACH FL)

IL

01/03/2007 - 12/09/2013

SENTINEL BROKERS COMPANY, INC. (CHICAGO IL)

IL

04/16/2003 - 12/15/2006

R.W. SMITH & ASSOCIATES, INC. (CHICAGO IL)

TN

07/12/2004 - 05/05/2005

DUNCAN-WILLIAMS, INC. (MEMPHIS (SHELBY) TN)

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Licenses & Designations

BC

Issued 05/07/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/28/2009

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/15/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Donald Cooke.
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