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AC

Alan S. Cohen

Some features on this profile are disabled
CRD#: 2237526
AC

Professional summary

Alan Steven Cohen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alan is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Alan had worked at 9 firms, which includes GILFORD SECURITIES INCORPORATED, DELTA ASSET MANAGEMENT COMPANY LLC, NEW WORLD SECURITIES INC., ISLAND SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FINANCIAL HORIZONS SECURITIES CORPORATION, CITICORP INVESTMENT SERVICES, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

top-8-questions

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

August 14, 2003 - October 22, 2003

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

June 11, 2002 - July 24, 2003

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

April 3, 1997 - January 15, 2002

NEW WORLD SECURITIES, INC.

BD
CRD#: 14694
GARDEN CITY, NY
Past

July 25, 1996 - March 5, 1997

ISLAND SECURITIES, INC.

BD
CRD#: 6810
Past

September 7, 1995 - June 4, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 7, 1994 - July 13, 1995

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

February 28, 1994 - August 7, 1995

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

August 20, 1993 - February 18, 1994

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 20, 1993 - February 18, 1994

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
RR
Series 63
Date: 10/25/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/1997
General Securities Principal Examination

Current Firm

GS
GILFORD SECURITIES INCORPORATED
GILFORD SECURITIES INCORPORATED

CRD#: 8076 / SEC#: , 8-24230

BD
Terminated by SEC on 12/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/24/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORTHINGTON, RALPH IVCHAIRMAN AND CEO, CHIEF COMPLIANCE OFFICER472943
SACHS, BONNIE JANE EDELMANDIRECTOR, CFO, COO725100

Disclosures

Regulatory Event21
Arbitration29

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

GILFORD SECURITIES INCORPORATED

CRD#: 8076

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