John F. Cogan
Professional summary
John Finbarr Cogan is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Arlington, Virginia.
John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 14, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Finbarr Cogan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2013 - Present
B. RILEY SECURITIES, INC.
Office #1: 1300 N 17th Street Suite 1300, Arlington, VA 22209June 28, 2017 - November 30, 2017
B. RILEY & CO., LLC
February 1, 2016 - December 3, 2019
MLV & CO. LLC
October 31, 2011 - June 25, 2012
JEFFERIES LLC
January 13, 2001 - November 3, 2011
DEUTSCHE BANK SECURITIES INC.
July 12, 1996 - January 13, 2001
DB ALEX. BROWN LLC
August 18, 1993 - June 20, 1996
NEUBERGER BERMAN BD LLC
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
FINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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