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Joseph Andrew Cook

Realta Equities, Inc.

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About Joseph Andrew Cook

Joseph Cook is a financial advisor with Realta Equities, Inc. in Wilmington, DE. Joseph has been working in the financial services industry since March 20, 2009. Joseph is licensed in Illinois and has Series 7, 9, 10, 22, 24, 63, and 65 licenses.

Firm Information

Joseph Cook is currently registered with Realta Equities, Inc.. Realta Equities, Inc. is a Corporation formed on January 24, 1989. The firm is registered in 52 states and is also SEC-registered.

Not reported

Assets Under Management

Not reported

Total Clients

56

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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Joseph Cook’s Registration & Firm History

DE

09/08/2023 - Present

Realta Equities, Inc. (WILMINGTON DE)

IL

01/24/2017 - 04/06/2017

ARETE WEALTH MANAGEMENT, LLC (Chicago IL)

IL

01/28/2015 - 02/02/2015

ARETE WEALTH MANAGEMENT, LLC (SCHAUMBURG IL)

IL

11/25/2008 - 07/18/2014

ARETE WEALTH MANAGEMENT, LLC (SCHAUMBURG IL)

IL

02/03/2005 - 11/18/2008

AMERIPRISE FINANCIAL SERVICES, INC. (SCHAUMBURG IL)

MN

02/03/2005 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

CA

10/09/2002 - 01/14/2005

WESTERN INTERNATIONAL SECURITIES, INC. (PASADENA CA)

NY

04/08/2002 - 09/30/2002

SANDS BROTHERS & CO., LTD. (NEW YORK NY)

CO

08/27/2001 - 03/26/2002

GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)

IL

07/01/2001 - 08/02/2001

COMPUTERSHARE SECURITIES CORPORATION (CHICAGO IL)

NY

02/09/2000 - 07/01/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/30/2023

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 04/18/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/18/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 02/15/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/04/2004

Series 24 - General Securities Principal Examination

BC

Issued 09/07/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 02/03/2023

SIE - Securities Industry Essentials Examination

BC

Issued 02/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Joseph Andrew Cook. Review regulatory record here.
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