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LJ

Leslie J. Jacobson

Some features on this profile are disabled
CRD#: 1892452
LJ

Professional summary

Leslie Jay Jacobson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leslie is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Leslie had worked at 7 firms, which includes ROBERT M. COHEN & CO. INC., MORGAN GRANT CAPITAL CORP., GRUNTAL & CO. L.L.C., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, THE STUART-JAMES COMPANY INCORPORATED, WILLIAM M. CADDEN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 8, 1997 - July 13, 1998

ROBERT M. COHEN & CO., INC.

BD
CRD#: 21806
GREAT NECK, NY
Past

October 21, 1996 - June 11, 1997

MORGAN GRANT CAPITAL CORP.

BD
CRD#: 28595
GARDEN CITY, NY
Past

January 5, 1995 - October 3, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

February 24, 1994 - December 21, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 20, 1990 - February 17, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 27, 1989 - November 7, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO
Past

February 17, 1989 - June 29, 1989

WILLIAM M. CADDEN & CO., INC.

BD
CRD#: 16363

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/10/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/27/1989
General Securities Principal Examination

Current Firm

RM
ROBERT M. COHEN & CO., INC.
ROBERT M. COHEN & CO., INC.

CRD#: 21806 / SEC#: , 8-39214

BD
Terminated by SEC on 01/24/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COHEN, ROBERT MARCDIRECTOR; PRESIDENT
BARRASSO, MICHAEL ANTHONYDIRECTOR
COOK, PETER CHRISTOPHEREXECUTIVE VICE PRESIDENT
MCKEEVER, JAMES JOSEPHDIRECTOR1640303

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

ROBERT M. COHEN & CO., INC.

CRD#: 21806

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