RC
Robert D. Cohen
STIFEL, NICOLAUS & COMPANY
Melville, NY 11747
Some features on this profile are disabled
CRD#: 1162192
RC
Professional summary
Robert David Cohen, CIMA®, who also goes by Bob Cohen, Bov Cohen, Rob Cohen, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Melville, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Cohen | Bov Cohen | Rob Cohen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)Kou Law Cohen LLC; 46 Clock Tower Lane Old Westbury NY 11568; real estate; Managing Partner; delegation of day to day operation; 05/30/2006; 5.00 Hour(s) Per Month; not during securities trading hours; Investment-Related
2)Kou Law Cohen & Hu LLC; 46 clock tower lane old westbury NY 11568; real Estate; Managing Partner; Delegate day to day operation; 05/30/2005; 5.00 Hour(s) Per Month; not during securities trading hours; Investment-Related
3)Kou law Cohen & Bennett LLC; 46 clock tower lane old westbury NY 11568; real estate; Managing partner; delegate day to day; 01/11/2013; 5.00 Hour(s) Per Month; not during securities trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Robert David Cohen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert David Cohen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 5, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 Broadhollow Road Suite 401, Melville, NY 11747RIA
BD
CRD#: 793
Melville, NY
Current
October 5, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 Broadhollow Road Suite 401, Melville, NY 11747RIA
BD
CRD#: 793
Melville, NY
Past
September 18, 2009 - October 4, 2018
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
GARDEN CITY, NY
Past
December 12, 2008 - October 4, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
GARDEN CITY, NY
Past
April 2, 2007 - December 15, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
JERICHO, NY
Past
April 2, 2007 - December 15, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
JERICHO, NY
Past
September 19, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
JERICHO, NY
Past
January 22, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
JERICHO, NY
Past
August 23, 1983 - January 27, 1990
BUTCHER & SINGER INC.
BD
CRD#: 6517
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/3/2019)
RR
Arizona(10/5/2018)
RR
California(10/5/2018)
RR
Colorado(10/5/2018)
RR
Connecticut(10/5/2018)
RR
Delaware(2/11/2019)
RR
Florida(10/5/2018)
RR
Georgia(10/8/2021)
RR
Idaho(3/26/2021)
RR
Illinois(2/1/2019)
RR
Maryland(10/5/2018)
RR
Massachusetts(10/10/2018)
RR
Michigan(10/5/2018)
RR
Missouri(6/3/2022)
RR
Nevada(10/5/2018)
RR
New Hampshire(10/5/2018)
RR
New Jersey(10/5/2018)
RR
New York(10/5/2018)
IAR
New York(5/26/2021)
RR
North Carolina(10/5/2018)
RR
Ohio(10/5/2018)
RR
Pennsylvania(10/5/2018)
RR
South Carolina(11/26/2018)
RR
South Dakota(1/7/2025)
RR
Tennessee(10/5/2018)
RR
Texas(10/5/2018)
IAR
Texas(10/5/2018)
RR
Virginia(10/5/2018)
RR
Washington(10/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
