Matthew 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.
Matthew Cohen, who also goes by Matt Cohen, Matthew Isaac Cohen Jr, Matthew Isaac Cohen, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 15 firms and has passed the 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
March 4, 2024 - October 13, 2025
EMPOWER FINANCIAL SERVICES, INC.
August 4, 2020 - March 4, 2024
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 30, 2020 - June 23, 2020
SECURIAN FINANCIAL SERVICES, INC.
May 3, 2013 - June 27, 2019
PRUCO SECURITIES, LLC.
May 17, 2012 - August 15, 2012
NATIONAL PLANNING CORPORATION
June 16, 2011 - May 21, 2012
EQUITY SERVICES, INC.
June 5, 2010 - June 10, 2011
ONEAMERICA SECURITIES, INC.
August 7, 2008 - November 6, 2009
CHASE INVESTMENT SERVICES CORP.
May 10, 2007 - July 28, 2008
E*TRADE SECURITIES LLC
January 29, 2004 - March 30, 2004
TRACK DATA SECURITIES CORPORATION
April 29, 2002 - May 21, 2002
RYAN BECK & CO.
March 11, 2002 - May 21, 2002
GRUNTAL & CO., L.L.C.
February 5, 1999 - August 20, 2001
JOSEPHTHAL & CO., INC.
July 27, 1998 - October 6, 1998
NATIONAL CLEARING CORP.
June 9, 1998 - August 7, 1998
ROYCE INVESTMENT GROUP, 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
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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