Brian P. Cohan
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.
Brian Patrick Cohan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 9 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 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, 2019 - January 2, 2025
NATALLIANCE SECURITIES, LLC
September 15, 2014 - August 18, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 3, 2013 - August 27, 2014
NATALLIANCE SECURITIES, LLC
December 17, 2010 - May 6, 2013
GUGGENHEIM SECURITIES, LLC
December 20, 2005 - December 15, 2010
WJB CAPITAL GROUP, INC.
May 3, 2004 - January 17, 2006
DRIVEWEALTH INSTITUTIONAL LLC
December 5, 2003 - May 7, 2004
UBS SECURITIES LLC
October 21, 2002 - December 5, 2003
ABN AMRO INCORPORATED
December 12, 2000 - June 26, 2002
DEUTSCHE IXE, LLC
July 21, 2000 - November 24, 2000
HARRISDIRECT 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
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.
