Adam J. Cohen
Professional summary
Adam Jonathan Cohen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Adam had worked at 7 firms, which includes PROFESSIONAL CONCEPTS & PLANNING INC., RENAISSANCE FINANCIAL SECURITIES CORP., TUSCANY EQUITY MANAGEMENT CORPORATI0N, LADENBURG CAPITAL MANAGEMENT INC., J. GREGORY & COMPANY INC., FIRST ASSET MANAGEMENT INC., ROBERT TODD FINANCIAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1998 - November 17, 2000
PROFESSIONAL CONCEPTS & PLANNING, INC.
February 6, 1996 - March 25, 1998
RENAISSANCE FINANCIAL SECURITIES CORP.
November 3, 1993 - February 18, 1994
TUSCANY EQUITY MANAGEMENT CORPORATI0N
November 3, 1993 - February 29, 1996
LADENBURG CAPITAL MANAGEMENT INC.
April 20, 1992 - October 15, 1992
TUSCANY EQUITY MANAGEMENT CORPORATI0N
September 16, 1991 - November 26, 1991
J. GREGORY & COMPANY, INC.
August 16, 1991 - September 18, 1991
FIRST ASSET MANAGEMENT, INC.
July 29, 1991 - August 22, 1991
ROBERT TODD FINANCIAL 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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
PROFESSIONAL CONCEPTS & PLANNING, INC.
CRD#: 15321 / SEC#: , 8-31997
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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