Barry J. 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.
Barry Joseph Cohen was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1982. Barry had worked at 4 firms and has passed the Series 63, SIE, Series 57, Series 3, Series 55, Series 41, Series 7, Series 8 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
April 1, 2011 - October 16, 2018
APOLLO GLOBAL SECURITIES, LLC
June 10, 2002 - October 13, 2003
NORTH CREEK PARTNERS LLC
March 5, 1987 - July 1, 2008
J.P. MORGAN SECURITIES LLC
August 24, 1982 - January 18, 1985
BEDFORD PARTNERS
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 55
Date: 1/21/1999
Limited Representative-Equity Trader ExamSeries 41
Date: 2/21/1981
NYSE Allied Member ExaminationSeries 8
Date: 3/22/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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.
