Roy Cohen
Professional summary
Roy Cohen was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roy Cohen was a registered financial advisor .
Roy is a previously registered financial advisor and started their career in finance in 1987. Roy had worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 4, Series 27, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2005 - December 23, 2009
MERCER ASSET MANAGEMENT, INC.
October 14, 2004 - January 14, 2010
MERCER CAPITAL LTD.
April 29, 1987 - March 12, 2003
GILDER GAGNON HOWE & CO. 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
Series 8
Date: 9/18/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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