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 Robert 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 12 firms and has passed the 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
September 29, 2011 - September 11, 2017
SYMPHONIC FINANCIAL ADVISORS LLC
August 24, 2011 - September 11, 2017
SYMPHONIC SECURITIES LLC
May 10, 2006 - December 31, 2010
PRINCIPAL SECURITIES, INC.
April 18, 2006 - December 31, 2010
PRINCIPAL SECURITIES, INC.
August 26, 2003 - June 30, 2004
HIGH MARK SECURITIES, INC.
October 13, 2000 - September 14, 2001
NYLIFE SECURITIES LLC
February 28, 2000 - June 19, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
June 13, 1997 - February 15, 2000
UNITED SECURITIES ALLIANCE, INC.
October 15, 1991 - April 4, 1997
MONY SECURITIES CORPORATION
November 19, 1989 - October 31, 1991
OSAIC WEALTH, INC.
July 19, 1988 - December 5, 1991
1717 CAPITAL MANAGEMENT COMPANY
February 23, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 24, 1987 - December 9, 1987
ISC 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
Current Firm
SYMPHONIC FINANCIAL ADVISORS LLC
CRD#: 135603 / SEC#: 801-64456
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,234 |
| AUM (Assets Under Management) | $ 125,189,685 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 09/28/2022 | ||
| 11/29/2021 |
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.
