Alan J. 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.
Alan Jose Cohen, who also goes by A. Cohen, Alan J. Cohen, Alan Cohen, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1995. Alan had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
July 20, 2017 - November 30, 2021
GLOBAL VIEW CAPITAL MANAGEMENT LLC
December 3, 2014 - October 26, 2016
VALIC FINANCIAL ADVISORS, INC.
May 6, 2014 - October 26, 2016
VALIC FINANCIAL ADVISORS, INC.
February 25, 2010 - November 16, 2012
OSAIC FS, INC.
September 8, 2004 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 25, 2003 - August 16, 2004
HIGH MARK SECURITIES, INC.
January 4, 1999 - February 21, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - February 21, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 17, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
February 20, 1996 - June 25, 1998
DOMINION CAPITAL CORPORATION
December 1, 1995 - February 13, 1996
T.L. GROUP, INC.
Primary Firm SEC Registration
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
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
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,570 |
| AUM (Assets Under Management) | $ 707,976,833 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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