Michael 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.
Michael Cohen, who also goes by Mike Cohen, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 5 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - November 3, 2022
FIS BROKERAGE & SECURITIES SERVICES LLC
September 14, 2009 - December 31, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
July 29, 2003 - February 22, 2005
HUDSON SECURITIES,INC.
February 4, 2003 - July 30, 2003
UBS FINANCIAL SERVICES INC.
January 21, 2003 - July 30, 2003
UBS FINANCIAL SERVICES INC.
March 25, 2002 - May 21, 2002
DOMESTIC SECURITIES, INC.
December 8, 2000 - January 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1986 - November 29, 2000
UBS FINANCIAL SERVICES INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/4/1998
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| BRADLEY, DUANGPHAT | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6103741 |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
