Barbara G. 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.
Barbara Gordon Cohen, who also goes by Barbara Elizabeth Gordon, Barbara Gordon, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1991. Barbara had worked at 12 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, SIE, Series 87, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2022 - January 6, 2026
NOBLE CAPITAL MARKETS, INC.
December 18, 2019 - June 3, 2022
SIDOTI & COMPANY, LLC
February 14, 2019 - December 20, 2019
TOR BROKERAGE LLC
September 12, 2016 - February 28, 2017
CHARDAN CAPITAL MARKETS LLC
January 6, 2015 - June 1, 2016
W.R. HAMBRECHT + CO., LLC
January 2, 2014 - January 7, 2015
CV BROKERAGE, INC
June 7, 2013 - December 31, 2013
SUMMIT RESEARCH PARTNERS LLC
January 6, 2009 - June 3, 2013
SIDOTI & COMPANY, LLC
November 10, 2005 - December 5, 2008
KEYBANC CAPITAL MARKETS INC.
September 22, 2005 - February 20, 2007
KEYBANC CAPITAL MARKETS INC.
April 26, 2004 - December 31, 2004
CRESCENDO ADVISOR LLC
September 5, 1997 - November 4, 1999
SCHRODER & CO. INC.
May 11, 1993 - January 18, 1995
FIRST UNION CAPITAL MARKETS CORP.
December 2, 1991 - April 27, 1992
PRUDENTIAL EQUITY GROUP, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/23/2006
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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