Brian Anthony Cooke

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2018-11-07
WI	RA	APPROVED	2018-11-01
NV	RA	APPROVED	2018-07-10
GA	RA	APPROVED	2018-04-05
MO	RA	APPROVED	2017-09-14
IL	RA	APPROVED	2017-08-09
NH	RA	APPROVED	2017-07-24
TX	RA	APPROVED_RES	2017-07-24
FL	RA	APPROVED	2015-01-02
MA	RA	APPROVED	2009-10-02

IN RA
APPROVED

Since 2018-11-07
WI RA
APPROVED

Since 2018-11-01
NV RA
APPROVED

Since 2018-07-10
GA RA
APPROVED

Since 2018-04-05
MO RA
APPROVED

Since 2017-09-14
IL RA
APPROVED

Since 2017-08-09
NH RA
APPROVED

Since 2017-07-24
TX RA
APPROVED_RES

Since 2017-07-24
FL RA
APPROVED

Since 2015-01-02
MA RA
APPROVED

Since 2009-10-02

Branch Locations

Naples, FL • United States

41 Kensett Lane, Darien, CT 06820 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Naples	FL	10/2009	Present

10/2009 → Present

Lpl Financial Llc

Naples, FL

Other Businesses

1. 10/20/09 - DBA ONLY, OCKWAY BAY FINANCIAL. 2. 3/15/2017 - Pelican Bay Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/28/2017 - 100 Hours Per Month/4 Hours During Securities Trading. 3. 10/22/2019 - Cook Wealth Management - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:10/21/2019 - 2 hrs/mo - 0 hrs during trading 4. 05/31/2023 - Scallop Shell - Investment Related - Mashpee, MA - Real Estate Rental - Owner - Start Date 04/01/2023 - 0 Hours Per Month/ During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-08-29
S63	Uniform Securities Agent State Law Examination	1989-05-23

S66 Uniform Combined State Law Examination

2007-08-29
S63 Uniform Securities Agent State Law Examination

1989-05-23

Other Names

Brian A Cooke

View on SEC IAPD