Mark A. Cohen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark A Cohen, who also goes by Mark Alan Cohen, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 16 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 55, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2025 - June 23, 2026
CASTLEVIEW PARTNERS, LLC
August 9, 2024 - December 10, 2024
BRIDGE ASSET MANAGEMENT, INC.
May 19, 2023 - August 15, 2023
AVATAR SECURITIES, LLC
September 11, 2020 - September 21, 2022
BRIDGE ASSET MANAGEMENT, INC.
November 23, 2018 - August 30, 2019
PEAK BROKERAGE SERVICES, LLC
October 18, 2018 - August 30, 2019
BLACKRIDGE ASSET MANAGEMENT, LLC
January 6, 2016 - December 17, 2018
VICTORY INVESTMENT ADVISERS INC.
March 13, 2014 - December 9, 2015
TRADESPOT MARKETS INC.
September 19, 2013 - March 3, 2014
WAYPOINT DIRECT INVESTMENTS, LLC
December 5, 2011 - September 20, 2012
LIGHTSPEED TRADING, LLC
August 2, 2007 - March 13, 2014
OAK TREE CAPITAL ADVISERS, INC.
April 16, 1997 - November 17, 2010
ACTIVA CAPITAL MARKETS, INC.
January 5, 1993 - May 7, 1997
CROWN FINANCIAL ASSOCIATES, INC.
December 1, 1988 - January 26, 1993
CIBC WORLD MARKETS CORP.
April 20, 1985 - February 18, 1986
E. F. HUTTON & COMPANY INC
July 18, 1984 - April 4, 1985
LEHMAN BROTHERS INC.
December 17, 1983 - December 8, 1988
MOORE & SCHLEY, CAMERON & CO.
Primary Firm SEC Registration
CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 5/19/2023
Securities Trader ExamSeries 55
Date: 9/27/2006
Limited Representative-Equity Trader ExamCurrent Firm
CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,133 |
| AUM (Assets Under Management) | $ 331,233,271 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
