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MS

Michael J. Stevens

COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 1220861
MS

Professional summary

Michael Joseph Stevens is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 16 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Stevens's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 5, 2026 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431
BD
CRD#: 149758
BOCA RATON, FL
Past

June 3, 2020 - January 5, 2026

INSPEREX LLC

BD
CRD#: 101420
Charlotte, NC
Past

May 6, 2016 - June 29, 2020

BROWNSTONE INVESTMENT GROUP, LLC

BD
CRD#: 43884
NEW YORK, NY
Past

May 30, 2014 - May 10, 2016

INSPEREX LLC

BD
CRD#: 101420
New York, NY
Past

August 26, 2011 - January 28, 2014

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

June 1, 2011 - August 23, 2011

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

April 9, 2008 - December 31, 2010

KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC

BD
CRD#: 126935
NEW YORK, NY
Past

January 7, 2005 - January 18, 2008

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
JERSEY CITY, NJ
Past

June 12, 2000 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

February 13, 1996 - June 15, 2000

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 3, 1995 - November 29, 1995

WATERFORD FINANCIAL, INC.

BD
CRD#: 33828
MINNEAPOLIS, MN
Past

March 28, 1995 - April 30, 1996

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

March 19, 1993 - February 16, 1995

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

March 20, 1992 - March 10, 1993

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 2, 1991 - April 30, 1992

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

July 26, 1990 - November 6, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 4, 1988 - August 2, 1990

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Past

June 18, 1987 - January 15, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 19, 1984 - August 2, 1990

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

December 21, 1983 - January 23, 1984

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(1/5/2026)
RR
Connecticut
(1/5/2026)
RR
Florida
(1/5/2026)
RR
Illinois
(1/5/2026)
RR
Maryland
(1/6/2026)
RR
New Jersey
(1/5/2026)
RR
New York
(1/5/2026)
RR
North Carolina
(1/5/2026)
RR
Ohio
(1/5/2026)
RR
Pennsylvania
(1/5/2026)
RR
Texas
(1/5/2026)
RR
Wisconsin
(1/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/11/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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.

Company Information

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758Boca Raton, FL 33431

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