Richard S. 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.
Richard Samuel Cohen was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 6 firms and has passed the Series 7, Series 3, Series 5 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2011 - May 8, 2013
BGC FINANCIAL, L.P.
November 1, 2010 - September 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2008 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
August 31, 1992 - May 29, 1997
LEHMAN BROTHERS INC.
May 1, 1987 - May 18, 1990
DB ALEX. BROWN LLC
November 6, 1982 - November 23, 1984
LEHMAN BROTHERS INC.
October 20, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
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 5
Date: 2/25/1983
Interest Rate Options ExaminationSeries 15
Date: 12/6/1982
Foreign Currency Options ExaminationCurrent Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
Red Flags
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