Andrew H. 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.
Andrew Howard Cohen was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1983. Andrew had worked at 9 firms and has passed the Series 63, 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
January 10, 1996 - February 27, 1996
SHAMROCK PARTNERS, LTD
August 18, 1994 - January 23, 1996
BEACON SECURITIES, INC.
August 3, 1990 - July 28, 1994
EMANUEL AND COMPANY
May 8, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
January 25, 1990 - November 16, 1990
COMMONWEALTH ASSOCIATES
January 13, 1988 - February 15, 1990
J. T. MORAN & CO., INC.
October 9, 1984 - January 14, 1988
VANDERBILT SECURITIES, INC.
August 14, 1984 - October 26, 1984
SUTTON PLACE SECURITIES, INC.
January 23, 1984 - September 7, 1984
BROOKS WEINGER ROBBINS & LEEDS INC.
November 22, 1983 - January 27, 1984
BROOKS, HAMBURGER, SATNICK, 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
Current Firm
SHAMROCK PARTNERS, LTD
CRD#: 23955 / SEC#: , 8-40676
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
| Bond | 1 |
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.
