Carl 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.
Carl Jason Cohen was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1997. Carl had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2013 - February 6, 2024
FRANKLIN DISTRIBUTORS, LLC
July 7, 2006 - February 6, 2024
WESTERN ASSET MANAGEMENT COMPANY
December 1, 2005 - December 31, 2006
FRANKLIN DISTRIBUTORS, LLC
September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 3, 2002 - September 30, 2003
HOWARD WEIL INCORPORATED
February 8, 2000 - July 17, 2001
FAM DISTRIBUTORS, INC.
April 7, 1997 - December 21, 1999
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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