Alan M. Cobb
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.
Alan Morrow Cobb, who also goes by Chip Cobb, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1973. Alan had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 1 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
September 27, 2004 - December 31, 2015
INVESTORS CAPITAL CORP.
August 19, 2002 - January 10, 2006
MARATHON CAPITAL GROUP, LLC
December 10, 2001 - December 31, 2015
INVESTORS CAPITAL CORP.
January 6, 1993 - December 6, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
January 11, 1982 - January 16, 1991
BARCLAY INVESTMENTS LLC
September 16, 1977 - September 26, 1977
PRUDENTIAL EQUITY GROUP, LLC
July 20, 1977 - November 8, 1983
TUCKER ANTHONY INCORPORATED
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 7, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
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 1
Date: 3/1/1973
Registered Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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