Richard 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.
Richard David Cohen, who also goes by Rd Cohen, Rich Cohen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2011 - June 30, 2017
FORESTERS EQUITY SERVICES, INC.
March 10, 2010 - June 30, 2017
FORESTERS EQUITY SERVICES, INC.
February 1, 2008 - March 9, 2010
SIGNATOR INVESTORS, INC.
January 19, 2007 - December 31, 2007
MML INVESTORS SERVICES, LLC
March 12, 2002 - May 3, 2006
NEW ENGLAND SECURITIES
September 19, 2000 - October 24, 2001
CONSECO EQUITY SALES, INC.
June 19, 1997 - November 9, 1998
WOODBURY FINANCIAL SERVICES, INC.
October 28, 1994 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
February 27, 1986 - December 31, 1992
PFS INVESTMENTS 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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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