Robert J. Ferrari
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.
Robert J Ferrari JR, who also goes by Robert Joseph Ferrari Jr, Robert J Ferrari Jr Jr, Robert J Ferrari Jr. Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 5 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 3 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 2, 2016 - May 19, 2023
COHEN & COMPANY SECURITIES, LLC
June 1, 2009 - October 19, 2015
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 17, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
September 20, 1988 - May 20, 1989
LEHMAN BROTHERS 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 7/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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