AM
Firm Information
Compensation
Fixed/Hourly
Number of Advisors
8 advisors
Number of Clients
70 clients
Average Client Portfolio
Not specified
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing information about the individuals covered.
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Advisor Information
Office location
888 San Clemente, Suite 400, Newport Beach, CA, 92660
Get directionsRegulatory History (4)
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
January 2012Pending
Customer Dispute
December 2011Pending
Customer Dispute
February 2011Award / Judgment
Customer Dispute
January 1999Award / Judgment
Employment History
Current Registrations
Roth Capital Partners, LLC
October 2013 - Present · 12 yrs 3 mos
Roth Capital Partners, LLC Broker
October 2013 - Present · 12 yrs 3 mos
Previous Registrations
C.K. Cooper & Company, INC.
October 2007 - September 2013 · 5 yrs 11 mos
Paladin Capital Partners, INC.
August 2007 - September 2013 · 6 yrs 1 mo
C.K. Cooper & Company, INC.Broker
April 2001 - August 2013 · 12 yrs 4 mos
C.K. Cooper & Company, INC.Broker
November 1996 - January 1999 · 2 yrs 2 mos
Brookstreet Securities CorporationBroker
April 1995 - December 1997 · 2 yrs 8 mos
Titan/value Equities Group, INC.Broker
January 1995 - April 1995 · 3 mos
Baraban Securities, INC.Broker
March 1992 - August 1992 · 5 mos
Montano Securities CorporationBroker
August 1989 - December 1994 · 5 yrs 4 mos
State Registrations4 states
CANVNYTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.