Rand M. Cohen
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.
Rand Mathew Cohen was a registered financial professional .
Rand is a previously registered financial professional and started their career in finance in 1991. Rand had worked at 9 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2000 - July 2, 2001
BLUESTONE CAPITAL CORP.
January 26, 1999 - December 21, 2000
HORNBLOWER & WEEKS, INC.
April 16, 1998 - January 1, 1999
ROYAL HUTTON SECURITIES CORP.
February 23, 1996 - April 1, 1998
LT LAWRENCE & CO., INC.
May 16, 1995 - February 7, 1996
PARAGON CAPITAL MARKETS, INC.
July 15, 1994 - April 21, 1995
FSG SECURITIES, INC.
November 8, 1993 - June 27, 1994
WESTFIELD FINANCIAL CORPORATION
March 22, 1993 - May 13, 1993
ALLIED CAPITAL, INC.
July 24, 1992 - March 25, 1993
ADVANCED EQUITY GROUP, INC.
April 12, 1991 - July 30, 1992
BLUESTONE CAPITAL CORP.
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 62
Date: 4/11/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
BLUESTONE CAPITAL CORP.
CRD#: 13516 / SEC#: , 8-29197
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 15 |
| Civil Event | 2 |
| Arbitration | 16 |
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.
