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John Thomas Cooke

Cooke Wealth Management, LLC

Irvine, CA

CRD 1454292

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Employer firm

Cooke Wealth Management, LLC CRD 127309

$137M regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Cooke Wealth Management, Llc

18881 Von Karman Ave. Suite 1420, Irvine, CA 92612 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2003-09-02
  • CA RA
    APPROVED
    Since 2003-09-02

Branch Locations

18881 Von Karman Ave. Suite 1420, Irvine, CA 92612 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cooke Wealth Management Llc Irvine CA 06/2003 Present
Previous Registrations
  • 2001-03-19 → 2008-04-01
    Osaic Wealth, Inc.
    Santa Ana, CA
    Tustin, CA
  • 2001-04-04 → 2006-09-18
    Liberty Capital Management, Inc.
    Santa Ana, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-03-09
  • S63 Uniform Securities Agent State Law Examination
    1994-03-09
Designations
  • Certified Financial Planner

View on SEC IAPD

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