David S. 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.
David Scott Cohen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 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
January 11, 2006 - September 28, 2015
CELADON FINANCIAL GROUP LLC
December 2, 2002 - January 5, 2006
U.S. CAPITAL PARTNERS, INC.
May 18, 2001 - December 18, 2001
FIRST COLONIAL SECURITIES
March 1, 2000 - December 2, 2002
VFINANCE INVESTMENTS, INC
February 21, 1996 - March 27, 2000
THE THORNWATER COMPANY, L.P.
April 3, 1995 - February 12, 1996
FAB SECURITIES OF AMERICA, INC.
May 7, 1992 - August 3, 1999
A. T. BROD & CO. INC.
September 8, 1989 - December 12, 1990
HASAN GROWNEY CO. INC.
February 9, 1989 - September 20, 1989
ROBYNS CAPITAL CORP.
September 24, 1987 - February 8, 1989
HAMPTON SECURITIES, INC.
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 55
Date: 4/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
