H M. Cohen

TRIAD SECURITIES CORP

New York, NY 10006

Some features on this profile are disabled

CRD#: 1861935

Professional summary

H Michael Cohen is a registered financial professional currently at TRIAD SECURITIES CORP located in New York, New York.

H is registered as a RR (Registered Representative) and started their career in finance in 1995. H has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view H Michael Cohen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 7, 2018 - Present

TRIAD SECURITIES CORP

Office #1: 111 Broadway 11th Floor, New York, NY, 10006

CRD#: 11363

New York, NY

Past

January 5, 2001 - May 8, 2018

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

SAN FRANCISCO, CA

Past

July 1, 1998 - November 23, 1999

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

May 6, 1998 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

February 7, 1995 - May 8, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/7/2018)

New York
(6/7/2018)

Exams

State Security Law Exam

Series 63

Date: 1/23/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/25/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRIAD SECURITIES CORP

CRD#: 11363 / SEC#: , 8-20930

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

111 Broadway 11th Floor, New York, NY 10006-9401

Mailing Address

111 Broadway 11th Floor, New York, NY 10006-9401

Phone number

(212) 349-8060

Established

New York since 07/13/1976

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST	SHAREHOLDER
ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE	SHAREHOLDER
CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011	SHAREHOLDER
KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011	SHAREHOLDER
FISHER, KENNETH ALAN	CEO	4631540
GOLDSMITH, LAWRENCE HARRY	DIRECTOR OF OPERATIONS/PRESIDENT	1386783
HOEHLER, TIMOTHY WILLIAM	CHIEF COMPLIANCE OFFICER	2176769
HORNIG, CYNTHIA	TRUSTEE-CYNTHIA HORNIG TRUST	5989716
LINDEN, ARTHUR AARON	SECRETARY/TREASURER	1230452
ROTHENBERG, SHARI P	FINOP/POO	6590875
SCHULTZ, JUDITH	TRUSTEE-ARTICLE 6TH TRUST	6041541
SCHULTZ, KEVIN MATTHEW	TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST	1779792
SCHULTZ, KEVIN MATTHEW	TRUSTEE-KEVIN SCHULTZ TRUST	1779792

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

H M. Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view H Michael Cohen's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/23/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/6/1995

Series 24

Date: 4/25/2005

FINRA

Current Firm

TRIAD SECURITIES CORP

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRIAD SECURITIES CORP

TRUST BUT VERIFY

Similar Advisors