BC
Brian A. Cohen
CAPITOL SECURITIES MANAGEMENT
Stony Brook, NY
Some features on this profile are disabled
CRD#: 1508111
BC
Professional summary
Brian Andrew Cohen is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Stony Brook, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.Trader Joes Not investment related Address:2085 Smith Haven Plaza Lake Grove, NY 11755 Nature of business:Mid level Manager Title:Mate Start:3/01/14 App#of hrs/month:128 App#of hrs/month during securities trading hrs: 0 Duties:manage employees 2.Strategies of Success Not investment related Address:172 Sycamore Circle Stony Brook, NY 11790 Nature of business: Host a podcast Title:Founder Start:1/1/11 App#of hrs/month:10 App#of hrs/month during securities trading hours: 0 Duties:personal site 3.Long Island Speakers Bureau Not investment related Address:1020 West Jericho Turnpike Ste 210 Smithtown, NY 11787 Nature of business: Website for speakers looking to present at organizations Title:Chief talent agent Start:1/1/16 App#of hrs/month:10 App#of hrs/month during securities trading hours:5 Duties:Ensure speakers are qualified, promote website on social media,events &word of mouth 4.Brookhaven Business Advisory Council Not investment related Address:1 Independence Hill Farmingville, NY 11738 Nature of business: Volunteer in Brookhaven Title: VP host of tv show Start:1/1/11 App#of hrs/month to OBA:1 App#of hrs/month during securities trading hours:1 Duties: Host tv shows, interview vendors, host job fairs 5.Toastmasters International Not investment related Address:Stony Brook University Pathology Dpt. Stony Brook, NY 11790 Nature of business: Help people become stronger speakers Title: President, Distinguished Toastmaster, Education Ambassador Start:2/1/06 App#of hrs/month:5 App#of hrs/month during securities trading hours:0 Duties: Promote &lead the club, guidance&coaching to members 6.Crohns and Colitis Foundation Not investment related Address:585 Stewart Ave Ste 304, Garden City, NY 11530 Nature of business: Facilitate a support group Title:Support group facilitator Start:03/01/15 App#of hrs/month:0 App#of hrs/month during securities trading hours:0 Duties: Facilitate/promote support group meetings 7.Comedy to Go, Inc Not investment related Address:172 Sycamore Circle Stony Brook, NY 11790 Nature of business: Comedy night fundraising Title:Partner Start:N/A App#of hrs/month: 0 App#of hrs/month devoted during securities trading hours:0 Duties: n/a 8.WATERVIEW BUSINESS PARTNERS Investment-related: Yes Address:201 OLD COUNTRY RD Ste206 MELVILLE, NY 11747 Nature of business: Insurance Sales&Marketing Title:Broker Start:08/16 App#of hrs/month: 0-5 App#of hrs/month during securities trading hours:0 Duties:Sell non security related insurance products 9.Live It Up-TV Show Not investment related Address:172 Sycamore Circle Stony Brook, NY 11790 Nature of business: Tv show Title:Correspondent Start:n/a App#of hrs/month :0 App#of hrs/month during securities trading hours:0 Duties:Interview&prepare guests to be interviewed 10.Executive Consultants of NY Foundation Investment-related: No Address: online Nature of business:online ecosystem where industries,educators &Long Island students connect to cultivate relationships w/the business community Title:Board Member Start:1/1/16 App#of hrs/month: 2 App#of hrs/month during securities trading hours:0 Duties: participate in coordinated marketing efforts,speak at schools about careers &encourage the business community to participate by listing jobs/internships &visit schools 11.Shift Group Not investment related Address: 904 Union Street Brooklyn, NY 11215 Nature of business:Marketing Title:Marketing & Public Relations Specialist Start:3/1/24 App#of hrs/month: 1 App#of hrs/month during securities trading hours:0 Duties: market the 4 week program to alternative energy &locally sourced food companies 12. Suffolk County Alliance of Chambers Not investment related Address: 33 Walt Whitman Road Huntington Station, NY 11746 Nature of OBA: organization is designed to share information to local chambers of commerce Title: Member Start: 7/5/25 App#of hrs/month: 5 App#of hrs/month during securities trading hours:2 Duties: Membership will help to promote careers along Long Island NY
CRS (Client Relationship Summary) - RIA
Click below to view Brian Andrew Cohen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Andrew Cohen's 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®
NoneExperience
Current
February 26, 2020 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #2: 201 Old Country Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 14169
Stony Brook, NY
Current
June 27, 2016 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 201 Old Country Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 14169
Melville, NY
Past
August 21, 2007 - June 28, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
HAUPPAUGE, NY
Past
April 29, 2002 - August 21, 2007
RYAN BECK & CO.
BD
CRD#: 3248
NEW YORK, NY
Past
May 5, 1998 - May 16, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
September 23, 1991 - May 13, 1998
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
June 11, 1990 - October 17, 1991
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
June 23, 1987 - May 4, 1990
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
New Jersey(2/26/2020)
RR
New York(6/27/2016)
IAR
New York(12/11/2021)
RR
Virginia(6/27/2016)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
