Steven M. Cohen
Professional summary
Steven Mark Cohen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Steven had worked at 7 firms, which includes FIRST UNITED EQUITIES CORPORATION, ROBERT TODD FINANCIAL CORP., HANOVER STERLING & COMPANY LTD., STRATTON OAKMONT INC., UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1995 - March 16, 1998
FIRST UNITED EQUITIES CORPORATION
August 15, 1994 - November 10, 1994
ROBERT TODD FINANCIAL CORP.
June 18, 1992 - August 12, 1992
HANOVER, STERLING & COMPANY LTD.
October 3, 1990 - May 6, 1992
STRATTON OAKMONT INC.
March 26, 1990 - August 2, 1990
UBS FINANCIAL SERVICES INC.
May 18, 1987 - April 17, 1990
LEHMAN BROTHERS INC.
November 18, 1986 - May 20, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
FIRST UNITED EQUITIES CORPORATION
CRD#: 36398 / SEC#: , 8-47212
Contact information
Documents
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.
