Adam J. 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.
Adam Jason Cohen was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1987. Adam had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 1989 - December 5, 1989
COMMONWEALTH ASSOCIATES
April 28, 1989 - June 12, 1989
FIRST FIDELITY CAPITAL CORP.
September 1, 1988 - April 29, 1989
J. T. MORAN & CO., INC.
August 31, 1988 - September 23, 1988
GREENTREE SECURITIES CORP.
July 11, 1988 - August 23, 1988
J. W. GANT & ASSOCIATES, INC.
April 29, 1987 - August 19, 1987
RANDOLPH BROWN SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMMONWEALTH ASSOCIATES
CRD#: 20833 / SEC#: , 8-38505
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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