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Robert A Cooke sr.

Broxton Capital Advisors

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About Robert A Cooke sr.

Robert Cooke Sr. is a financial advisor with over 30 years of experience in the industry. Robert is currently registered with Broxton Capital Advisors and is located in Memphis, TN. Robert has worked in the financial industry for over 30 years. Previous to Broxton Capital, Robert worked for firms like UBS Financial Services Inc., Smith Barney, Harris Upham & Co., Incorporated, and Sutro & Co. Incorporated.

Firm Information

Robert Cooke sr. is currently registered with Broxton Capital Advisors. Broxton Capital Advisors is an investment advisor with 3 investment advisor representatives, managing over $29 million in regulatory assets under management. The firm provides portfolio management services for individuals and businesses. Broxton Capital Advisors primarily works with high-net-worth individuals, managing $27 million for 70 clients, and individuals other than high-net-worth, managing $2 million for 24 clients.

$29.43M

Assets Under Management

Not reported

Total Clients

5

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.

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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Robert Cooke sr.’s Registration & Firm History

TN

01/07/2019 - Present

Broxton Capital Advisors (Memphis TN)

CA

01/14/2014 - 07/21/2014

BMA SECURITIES (EL SEGUNDO CA)

CA

03/23/2010 - 10/24/2011

NATIONAL ALLIANCE SECURITIES CORPORATION (LOS ANGELES CA)

CA

03/27/2006 - 04/01/2008

WESTERN INTERNATIONAL SECURITIES, INC. (LOS ANGELES CA)

NJ

01/11/2000 - 04/11/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

CA

01/07/1998 - 01/19/2000

IMPERIAL CAPITAL, LLC (LOS ANGELES CA)

CA

01/20/1993 - 12/31/1997

DABNEY/RESNICK/IMPERIAL, LLC (BEVERLY HILLS CA)

NY

06/25/1990 - 01/20/1993

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

CA

05/13/1988 - 06/25/1990

SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)

NA

11/08/1983 - 06/21/1988

DREXEL BURNHAM LAMBERT INCORPORATED

NA

06/16/1982 - 10/24/1983

MORGAN, OLMSTEAD, KENNEDY & GARDNER, INCORPORATED

NA

02/22/1980 - 06/03/1982

CALIFORNIA MUNICIPAL INVESTORS, INC.

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Licenses & Designations

IA

Issued 9/28/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/25/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 2/6/1986

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/19/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 4/17/1984

Series 5 - Interest Rate Options Examination

BC

Issued 2/16/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Robert A Cooke sr..
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