Richard W. 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 William Cohen, who also goes by Dick Cohen, Richard W Cohen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 87, Series 16, Series 14 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
January 18, 2012 - January 2, 2020
NATIONAL SECURITIES CORPORATION
March 25, 2002 - January 19, 2012
FAGENSON & CO., INC.
September 2, 1994 - April 9, 2002
STARR SECURITIES, INC.
January 7, 1992 - September 9, 1994
FAB SECURITIES OF AMERICA, INC.
September 25, 1990 - January 6, 1992
BAIRD, PATRICK & CO., INC.
April 13, 1988 - May 11, 1990
OPPENHEIMER & CO. INC.
January 23, 1986 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
September 28, 1984 - January 24, 1986
KUHNS BROTHERS & LAIDLAW, INC.
February 24, 1983 - May 17, 1985
BECKER PARIBAS 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 55
Date: 12/11/2008
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
