George A. Cohan
Professional summary
George Alfred Cohan SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, George had worked at 7 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., PRINCIPAL SECURITIES INC., PARK AVENUE SECURITIES LLC, NEW ENGLAND SECURITIES, MML INVESTORS SERVICES LLC, SIGNATOR INVESTORS INC., MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2002 - July 22, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 5, 2002 - March 19, 2002
PRINCIPAL SECURITIES, INC.
January 8, 2001 - September 13, 2001
PARK AVENUE SECURITIES LLC
October 2, 2000 - December 21, 2000
NEW ENGLAND SECURITIES
January 28, 2000 - September 5, 2000
MML INVESTORS SERVICES, LLC
April 22, 1999 - August 19, 1999
SIGNATOR INVESTORS, INC.
March 16, 1999 - March 29, 1999
MONY SECURITIES CORPORATION
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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