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John Cooper

44 Years of Experience
Clayton, MO
1 DisclosureBroker

John Cooper is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Clayton, MO, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25581 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

Investment management only (planning not offered)

The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.

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Location

7676 Forsyth Blvd, Clayton, MO, 63105

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2005
Denied
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 1990 - Present · 35 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1990 - Present · 35 yrs 11 mos
Previous Registrations
Fn Investment CenterBroker
May 1988 - May 1990 · 2 yrs
Isfa CorporationBroker
March 1986 - May 1988 · 2 yrs 2 mos
Shearson Lehman Brothers INC.Broker
November 1983 - March 1986 · 2 yrs 4 mos
Waddell & Reed, INC.Broker
June 1981 - June 1983 · 2 yrs
State Registrations31 states
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AdvisorBrokerBoth

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
No exam information available for this advisor.