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Douglas James Cooper

LPl Financial LLC

Cincinnati, OH

Boston, MA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2013-08-02
  • OH RA
    APPROVED
    Since 2013-08-02

Branch Locations

Cincinnati, OH • United States

201 Washington St Ste 300, Boston, MA 02108 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Cincinnati OH 07/2013 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-12
S63 Uniform Securities Agent State Law Examination 1999-09-14
  • S66 Uniform Combined State Law Examination
    2012-03-12
  • S63 Uniform Securities Agent State Law Examination
    1999-09-14

View on SEC IAPD

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