Graham C. Cohen
Professional summary
Graham Charles Cohen is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.
Graham is registered as a RR (Registered Representative) and started their career in finance in 2003. Graham has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Graham Charles Cohen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2023 - Present
CREDIT AGRICOLE SECURITIES (USA) INC.
Office #1: 1301 Avenue Of The Americas - 9th Floor, New York, NY 10019September 6, 2017 - November 4, 2022
SMBC NIKKO SECURITIES AMERICA, INC.
March 12, 2012 - August 24, 2017
MUFG SECURITIES AMERICAS INC.
August 17, 2010 - January 31, 2012
BNP PARIBAS SECURITIES CORP.
June 23, 2009 - August 16, 2010
COHEN & COMPANY SECURITIES, LLC
July 12, 2007 - February 19, 2008
UBS SECURITIES LLC
July 24, 2006 - July 12, 2007
UBS ASSET MANAGEMENT (US) INC.
January 21, 2004 - June 6, 2006
UBS SECURITIES LLC
June 25, 2003 - January 27, 2004
RBC CAPITAL MARKETS CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/22/2023)
Exams
Series 52TO
Date: 6/28/2023
Municipal Securities Representative ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
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