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James Cooper

Seterios Wealth Advisors, LLC

Lexington, KY

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Current Employers
Seterios Wealth Advisors, Llc

Lexington, KY • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2024-02-23
FL RA APPROVED 2023-01-04
  • KY RA
    APPROVED
    Since 2024-02-23
  • FL RA
    APPROVED
    Since 2023-01-04

Branch Locations

Lexington, KY • 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
Seterios Wealth Advisors Llc Lexington KY 01/2022 Present
The Lima-Cooper Group, Coldwell Banker Sarasota FL 01/2015 04/2022
James Cooper & Company Sarasota FL 05/1984 12/2021
  • 01/2022 → Present
    Seterios Wealth Advisors Llc
    Lexington, KY
  • 01/2015 → 04/2022
    The Lima-Cooper Group, Coldwell Banker
    Sarasota, FL
  • 05/1984 → 12/2021
    James Cooper & Company
    Sarasota, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-14
  • S65 Uniform Investment Adviser Law Examination
    2022-07-14

View on SEC IAPD

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