Unclaimed
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.
Memphis, TN
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
1
2
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.
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
Active
Inactive
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