Maurice 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.
Maurice Jay Cohn was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1963. Maurice had worked at 2 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1985 - January 11, 2010
COHMAD SECURITIES CORPORATION
October 21, 1963 - June 11, 1985
S.G. WARBURG & CO. 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 1
Date: 12/19/1955
Registered Representative ExaminationCurrent Firm
COHMAD SECURITIES CORPORATION
CRD#: 16307 / SEC#: , 8-33674
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COHN, MAURICE JAY | CHAIRMAN CHIEF EXECUTIVE OFFICER | 1313085 |
| COHN, MARCIA BETH | PRESIDENT CHIEF OPERATING OFFICER CHIEF COMPLIANCE OFFICER SROP,CROP,FINOP | 1049032 |
| MADOFF, BERNARD LAWRENCE | DIRECTOR | 316687 |
| MADOFF, PETER BARNETT | DIRECTOR | 316688 |
| BUCCELLATO, ROSALIE | PRINCIPLE | 848124 |
| COHN, MILTON SEYMOUR | DIRECTOR | 1477771 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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