David R. 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 Russell Cohen, who also goes by David R Cohen, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 17 firms and has passed the Series 65, Series 63, SIE 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
February 4, 2015 - March 11, 2016
LOCORR DISTRIBUTORS, LLC
June 25, 2013 - January 29, 2015
FORESIDE FUND SERVICES, LLC
December 3, 2012 - January 31, 2013
SYMETRA SECURITIES, INC.
May 15, 2012 - December 3, 2012
SIGNATOR FINANCIAL SERVICES, INC.
August 26, 2011 - April 4, 2012
SENTINEL FINANCIAL SERVICES COMPANY
July 7, 2010 - August 23, 2011
GLOBAL ATLANTIC DISTRIBUTORS, LLC
February 24, 2005 - July 9, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
January 9, 2004 - February 4, 2005
STATE STREET RESEARCH & MANAGEMENT COMPANY
December 15, 2003 - February 3, 2005
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
March 26, 2002 - September 9, 2003
ROBERT FLEMING INC.
July 18, 2001 - December 19, 2003
J.P. MORGAN INVESTMENT MANAGEMENT INC.
July 18, 2001 - November 28, 2003
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - July 11, 2001
J.P. MORGAN SECURITIES INC.
July 25, 2000 - May 1, 2001
JPMSI
October 12, 1999 - July 20, 2000
LAZARD FRERES & CO. LLC
October 6, 1997 - August 17, 1999
NEUBERGER BERMAN BD LLC
March 25, 1997 - October 22, 1997
FINANCIAL SQUARE PARTNERS
January 21, 1997 - October 22, 1997
FINANCIAL SQUARE PARTNERS
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
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
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.
