Alan J. Cohn
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.
Alan Jay Cohn, who also goes by Al Cohn, Alan J Cohn, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2020 - January 20, 2023
SEQUENT PLANNING, LLC
October 17, 2018 - July 23, 2020
PRINCIPAL SECURITIES, INC.
September 5, 2018 - July 23, 2020
PRINCIPAL SECURITIES, INC.
July 14, 2016 - April 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2016 - April 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2015 - January 25, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 10, 2000 - February 3, 2006
NYLIFE SECURITIES LLC
November 10, 2000 - December 16, 2013
NYLIFE DISTRIBUTORS LLC
July 7, 1998 - April 6, 2000
AMERITAS INVESTMENT COMPANY, LLC
April 3, 1997 - February 10, 1998
MERRIMAN CAPITAL, INC.
December 15, 1984 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
December 15, 1984 - December 9, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 15, 1984 - December 9, 1998
OSAIC FA, INC.
June 19, 1983 - February 4, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
SEQUENT PLANNING, LLC
CRD#: 160381 / SEC#: 801-113971
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 7TO
Date: 3/29/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/29/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 2
Date: 9/25/1981
Non-Member General Securities ExaminationCurrent Firm
SEQUENT PLANNING, LLC
CRD#: 160381 / SEC#: 801-113971
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,102 |
| AUM (Assets Under Management) | $ 394,657,254 |
Red Flags
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