Roberta S. 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.
Roberta Sue Cohen, who also goes by Roberta Sue Andrews, Roberta Sue Neel, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1973. Roberta had worked at 8 firms and has passed the Series 63, SIE, PC, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2012 - December 31, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
July 3, 2003 - July 20, 2012
SAMUELS CHASE & CO., INC.
February 9, 2000 - July 7, 2003
BMO CAPITAL MARKETS CORP.
June 5, 1989 - January 21, 2000
GRUNTAL & CO., L.L.C.
November 17, 1987 - July 18, 1989
JED M. COHEN, INC.
August 19, 1987 - December 1, 1987
CHESTNUT HILL SECURITIES,INC.
April 1, 1986 - August 24, 1987
CANTOR FITZGERALD & CO.
February 14, 1973 - April 18, 1986
J.P. MORGAN SECURITIES LLC
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
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 2/12/1973
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
