Robert M. 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.
Robert Marc Cohen was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 7 firms and has passed the Series 63, Series 62, 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
November 1, 2006 - December 7, 2009
HUDSON SECURITIES,INC.
January 27, 1989 - January 2, 2004
ROBERT M. COHEN & CO., INC.
January 14, 1988 - September 26, 1989
WILLIAM M. CADDEN & CO., INC.
May 17, 1985 - March 4, 1987
THE STUART-JAMES COMPANY, INCORPORATED
January 10, 1985 - May 28, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
May 9, 1984 - January 16, 1985
J. GREGORY & COMPANY, INC.
December 22, 1982 - April 30, 1984
JSC SECURITIES, 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 62
Date: 10/31/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
HUDSON SECURITIES,INC.
CRD#: 10467 / SEC#: , 8-30639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RODMAN RENSHAW CAPITAL GROUP, INC. | HOLDING COMPANY | |
| HECHLER, RANDY JAY | CCO, DIRECTOR OF COMPLIANCE | 2292597 |
Disclosures
| Regulatory Event | 26 |
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.
