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AG

Allan R. Gribben

COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 1551569
AG

Professional summary

Allan Roy Gribben IV, who also goes by Allan Roy Gribben, is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

Allan is registered as a RR (Registered Representative) and started their career in finance in 1986. Allan has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allan Roy Gribben

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 Allan Roy Gribben IV'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

June 25, 2024 - Present

COHEN & COMPANY SECURITIES, LLC

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

July 18, 2023 - June 25, 2024

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

August 3, 2020 - May 30, 2023

TRUIST SECURITIES, INC.

BD
CRD#: 6271
RICHMOND, VA
Past

October 14, 2015 - August 3, 2020

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

January 21, 2014 - October 19, 2015

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
MINNEAPOLIS, MN
Past

November 23, 2012 - December 18, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
RICHMOND, VA
Past

September 1, 2010 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
RICHMOND, VA
Past

July 15, 1998 - September 10, 2010

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

July 14, 1998 - August 20, 1998

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
Past

August 20, 1996 - March 26, 1998

FIRST CLEARING, LLC

BD
CRD#: 17344
ST. LOUIS, MO
Past

August 30, 1989 - July 31, 1996

LEHWALD, OROSEY & PEPE INCORPORATED

BD
CRD#: 16677
BOCA RATON, FL
Past

February 1, 1989 - September 6, 1989

ALLISON, ROSENBLUM & HANNAHS, INC.

BD
CRD#: 22375
Past

January 4, 1988 - March 8, 1989

FIRST STATE INVESTMENTS, INC.

BD
CRD#: 16693
Past

November 21, 1986 - January 20, 1988

FIRST INVESTMENT SECURITIES, INC.

BD
CRD#: 13459

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
Arkansas
(6/25/2024)
RR
California
(6/25/2024)
RR
Georgia
(6/25/2024)
RR
Illinois
(7/26/2024)
RR
Maryland
(6/25/2024)
RR
Massachusetts
(6/25/2024)
RR
Nebraska
(6/25/2024)
RR
New Jersey
(6/25/2024)
RR
New York
(6/25/2024)
RR
Ohio
(6/25/2024)
RR
Texas
(6/25/2024)
RR
Virginia
(6/25/2024)
RR
Wisconsin
(6/25/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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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