Brett 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.
Brett Cohen was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1995. Brett had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1998 - July 6, 1998
BRIARWOOD INVESTMENT COUNSEL
April 17, 1998 - May 13, 1998
HARVESTONS SECURITIES, INC.
August 23, 1997 - December 12, 1997
GKN SECURITIES CORP.
April 24, 1997 - June 10, 1997
ROAN CAPITAL PARTNERS L.P.
February 13, 1997 - February 18, 1997
GKN SECURITIES CORP.
October 17, 1996 - February 10, 1997
THE THERMOPYLAE GROUP, INC.
October 18, 1995 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
March 14, 1995 - September 19, 1995
LT LAWRENCE & 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
BRIARWOOD INVESTMENT COUNSEL
CRD#: 6368 / SEC#: , 8-21715
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
