Joshua A. 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.
Joshua Aaron Cohen was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1994. Joshua had worked at 7 firms and has passed the Series 63, SIE, 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
October 14, 2015 - May 21, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
April 22, 2002 - October 29, 2015
BRILL SECURITIES, INC.
August 18, 2000 - April 26, 2002
BISHOP, ROSEN & CO., INC.
January 10, 2000 - August 22, 2000
GKN SECURITIES CORP.
December 4, 1998 - January 14, 2000
BISHOP, ROSEN & CO., INC.
April 15, 1997 - December 7, 1998
M.S. FARRELL & COMPANY, INC.
April 3, 1995 - March 19, 1997
THE BOSTON GROUP
February 4, 1994 - February 1, 1995
H.J. MEYERS & CO., INC.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
