Walter Cooper
Walter Cooper is a registered investment advisor at Oppenheimer & CO. INC., based in Providence, RI, with 43 years of industry experience. Walter is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
1 Financial Plaza, Suite 2110, Providence, RI, 02903
Get directionsHistory
Regulatory History (4)
Customer Dispute
July 2019Employment Separation After Allegations
March 2012Customer Dispute
April 2008Customer Dispute
January 1992Other Business Activities
Walter serves as co-trustee for the Janet Cooper Trust since 2003, dedicating minimal time to trustee duties such as taxes and investing. This activity is investment-related.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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