Eve D. 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.
Eve Deborah Cohen, who also goes by Eve Cohen, Eve Deborah Kirschner, was a registered financial professional .
Eve is a previously registered financial professional and started their career in finance in 1985. Eve had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, 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
August 6, 2019 - April 2, 2024
NATIONAL FINANCIAL SERVICES LLC
May 4, 2017 - June 18, 2019
280 SECURITIES LLC
July 31, 2015 - August 1, 2016
CALAMOS WEALTH MANAGEMENT LLC
July 30, 2015 - August 1, 2016
CALAMOS FINANCIAL SERVICES LLC
September 23, 2011 - August 10, 2015
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - August 10, 2015
CREDIT SUISSE SECURITIES (USA) LLC
September 5, 1991 - January 17, 2003
PERSHING LLC
March 31, 1989 - September 12, 1991
FINANCIAL SQUARE PARTNERS
May 14, 1988 - August 18, 1988
LEHMAN BROTHERS INC.
February 12, 1988 - April 12, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 19, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
June 18, 1985 - November 21, 1986
UBS FINANCIAL SERVICES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
