David L. 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.
David Lawrence Cohen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 3 firms and has passed the Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2003 - March 31, 2022
IRIDIAN ASSET MANAGEMENT LLC
May 25, 1999 - March 31, 2022
IAM CAPITAL CORPORATION
March 20, 1990 - April 17, 1996
NATIXIS SECURITIES AMERICAS LLC
Primary Firm SEC Registration
IRIDIAN ASSET MANAGEMENT LLC
CRD#: 104550 / SEC#: 801-50661
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
IRIDIAN ASSET MANAGEMENT LLC
CRD#: 104550 / SEC#: 801-50661
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 366,873,060 |
Red Flags
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