Jonathan 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.
Jonathan Andrew Cohen was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2015 - March 31, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
March 19, 2012 - September 23, 2014
GLOBAL-AMERICAN INVESTMENTS, INC.
May 10, 2011 - October 28, 2011
OCEAN VIEW CAPITAL, LLC
February 26, 2010 - April 27, 2010
TRANSCEND CAPITAL
January 29, 2009 - October 5, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
May 2, 2008 - February 18, 2009
GRACE FINANCIAL GROUP LLC
February 29, 2008 - March 7, 2008
RBC CAPITAL MARKETS, LLC
January 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
April 20, 2006 - February 29, 2008
G-2 TRADING,LLC
November 27, 2001 - January 2, 2007
CARLIN EQUITIES, LLC
October 2, 1996 - December 7, 2001
UBS FINANCIAL SERVICES 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
Series 55
Date: 12/30/2006
Limited Representative-Equity Trader ExamCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
