Joseph 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.
Joseph Jeffrey Cohen, who also goes by Joe Cohen, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 9 firms and has passed the Series 65, 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
September 25, 2006 - October 15, 2019
HOYLECOHEN, LLC
May 4, 2004 - October 27, 2008
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
May 3, 2004 - April 22, 2009
NEWEDGE SECURITIES, LLC
January 24, 2003 - September 13, 2006
HOYLECOHEN,INC.
June 10, 2002 - May 4, 2004
FDX ADVISORS, INC.
June 10, 2002 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
August 1, 2000 - June 10, 2002
EPLANNING SECURITIES, INC.
October 1, 1991 - August 1, 2000
OSAIC FS, INC.
November 22, 1989 - June 5, 1990
WESTERN FINANCIAL CORPORATION
April 29, 1987 - December 5, 1989
OSAIC FS, 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
Current Firm
HOYLECOHEN, LLC
CRD#: 141125 / SEC#: 801-67037
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,427 |
| AUM (Assets Under Management) | $ 3,430,171,657 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/06/2024 | ||
| 01/29/2024 | ||
| 04/26/2023 |
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.
