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RIA / WealthAdvisor42 years in industry

ROBERT A COOKE SR.

Advisor at BROXTON CAPITAL ADVISORS LLC

Memphis, TN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 2, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BROXTON CAPITAL ADVISORS LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 25, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 25, 1984
First registration: Mar 2, 2000
Dual registered: no
Other names: ROBERT ALLEN COOKE|ROBERT A COOKE|BOB A COOKE
IAPD individual key: 704677

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BROXTON CAPITAL ADVISORS LLC	Former SEC adviser	Dec 8, 2025	n/a	yes	Memphis, TN	Current employment
BROXTON CAPITAL ADVISORS LLC	Former SEC adviser	Feb 19, 2015	May 16, 2017	no	OLD SAN JUAN, PR	Previous registration
BROXTON CAPITAL ADVISORS LLC	Former SEC adviser	Apr 20, 2012	Jun 4, 2012	no	OLD SAN JUAN, PR	Previous registration
HUDSON COOPER ASSET MANAGEMENT, INC.	n/a	Jan 26, 2012	Jan 1, 2022	no	LOS ANGELES, CA	Previous registration
BROXTON CAPITAL ADVISORS LLC	Former SEC adviser	Apr 15, 2008	Apr 2, 2012	no	OLD SAN JUAN, PR	Previous registration
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Mar 27, 2006	May 1, 2007	no	LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 2, 2000	Apr 11, 2006	no	CENTURY CITY, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HUDSON COOPER ASSET MANAGEMENT, INC.	BROXTON CAPITAL ADVISORS LLC	Jan 1, 2022	Apr 20, 2012	-3,543	Firm change after gap	Other
BROXTON CAPITAL ADVISORS LLC	HUDSON COOPER ASSET MANAGEMENT, INC.	Apr 2, 2012	Jan 26, 2012	-67	Firm change after gap	Other
WESTERN INTERNATIONAL SECURITIES	BROXTON CAPITAL ADVISORS LLC	May 1, 2007	Apr 15, 2008	350	Firm change	Other
UBS FINANCIAL SERVICES INC.	WESTERN INTERNATIONAL SECURITIES	Apr 11, 2006	Mar 27, 2006	-15	Firm change	Other

Relationships

Registered with (4)

→ BROXTON CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Feb 19, 2015 to May 16, 2017factForm ADV
→ HUDSON COOPER ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 26, 2012 to Jan 1, 2022factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Mar 27, 2006 to May 1, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 2, 2000 to Apr 11, 2006factForm ADV

Dated events

Occurred
Jan 1, 2022
Advisor changed firm
Robert A Cooke Sr. left Hudson Cooper Asset Management, Inc. for Broxton Capital Advisors Llc (registered 2012-04-20)
Form ADVobserved 4 days ago