Noam Cohen
Professional summary
Noam Cohen, who also goes by Noam Moshe Cohen, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Noam is registered as a RR (Registered Representative) and started their career in finance in 1992. Noam has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Noam Cohen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2026 - Present
TD SECURITIES (USA) LLC
Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017August 16, 2022 - January 30, 2026
KEYBANC CAPITAL MARKETS INC.
May 15, 2012 - August 2, 2022
RBC CAPITAL MARKETS, LLC
July 28, 2010 - June 5, 2012
BMO CAPITAL MARKETS CORP.
October 31, 2008 - July 26, 2010
BERENSON & COMPANY, LLC
July 13, 2004 - August 29, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 2001 - June 28, 2004
BANC OF AMERICA SECURITIES LLC
September 23, 1998 - September 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 27, 1995 - September 18, 1998
LEHMAN BROTHERS INC.
March 27, 1992 - July 10, 1992
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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