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JC

Jeffrey S. Cohen

LADENBURG THALMANN & CO.
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2503625
JC

Professional summary

Jeffrey Scott Cohen is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in Boca Raton, Florida.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 14 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

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) - BD

Click below to view Jeffrey Scott Cohen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 1, 2011 - Present

LADENBURG THALMANN & CO. INC.

Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431
BD
CRD#: 505
Boca Raton, FL
Past

September 16, 2009 - August 1, 2011

C.K. COOPER & COMPANY, INC.

BD
CRD#: 106578
IRVINE, CA
Past

June 1, 2009 - August 27, 2009

PULSE TRADING, INC.

BD
CRD#: 104022
BOSTON, MA
Past

February 2, 2009 - June 19, 2009

CANTELLA & CO., INC.

BD
CRD#: 13905
DEL RAY BEACH, FL
Past

June 11, 2008 - December 31, 2008

WASSERMAN & ASSOCIATES, INC.

BD
CRD#: 45085
MYRTLE BEACH, SC
Past

April 24, 2008 - June 9, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
DELREY BEACH, FL
Past

February 16, 2007 - February 14, 2008

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

July 14, 2005 - February 12, 2007

STANFORD GROUP COMPANY

BD
CRD#: 39285
BOCA RATON, FL
Past

December 16, 2004 - July 11, 2005

HALPERN CAPITAL, INC.

BD
CRD#: 119895
AVENTURA, FL
Past

October 22, 2001 - December 17, 2004

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

May 3, 2000 - September 28, 2001

AVALON RESEARCH GROUP, INC.

BD
CRD#: 39815
BOCA RATON, FL
Past

October 15, 1996 - June 24, 1999

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 10, 1994 - September 6, 1996

SANWA UNIVERSAL SECURITIES CO., LLC

BD
CRD#: 8427
NEW YORK, NY
Past

June 10, 1994 - September 6, 1996

SANWA SECURITIES (USA) CO., L.P.

BD
CRD#: 19697
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/21/2011)
RR
New York
(8/1/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 4/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 9/6/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/7/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 12/3/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.

CRD#: 505 / SEC#: , 8-17230

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OSAIC HOLDINGS, INC.OWNER
BLANCATO, PHILIP SALVATOREEXECUTIVE VICE PRESIDENT, DIRECTOR2122221
GIDEON, MICHAEL RDIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER5315304
GIOVANNIELLO, JOSEPHSVP/GENERAL COUNSEL/ASSISTANT SECRETARY3086071
MITCHELL, CHRISTOPHER MILLSTREASURER AND FINANCIAL OPERATIONS PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS2627931
SPATOLA, BRIAN MICHAELCHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL2773548
STEINER, BARRY EVANDIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR2775629

Disclosures

Regulatory Event36
Arbitration14

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

LADENBURG THALMANN & CO. INC.

LADENBURG THALMANN & CO. INC.

CRD#: 505Boca Raton, FL 33431

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