Alan 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.
Alan Cohen was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1972. Alan had worked at 13 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2019 - January 3, 2020
NEWBRIDGE SECURITIES CORPORATION
June 1, 2016 - August 28, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
April 1, 2010 - June 1, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2010 - June 1, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2006 - April 12, 2010
UBS FINANCIAL SERVICES INC.
January 13, 2006 - January 20, 2006
UBS FINANCIAL SERVICES INC.
January 13, 2006 - April 12, 2010
UBS FINANCIAL SERVICES INC.
November 24, 2004 - January 17, 2006
MORGAN STANLEY DW INC.
November 24, 2004 - January 17, 2006
MORGAN STANLEY DW INC.
May 9, 2003 - December 6, 2004
CITIGROUP GLOBAL MARKETS INC.
May 9, 2003 - December 6, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 2002 - May 12, 2003
MORGAN STANLEY DW INC.
January 14, 2000 - May 12, 2003
MORGAN STANLEY DW INC.
September 28, 1994 - February 11, 2000
JWGENESIS SECURITIES, INC.
July 16, 1993 - October 5, 1994
THE STAMFORD COMPANY, INC.
November 19, 1990 - July 21, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1980 - November 19, 1990
J.P. MORGAN SECURITIES LLC
August 30, 1979 - September 13, 1980
E. F. HUTTON & COMPANY INC
September 29, 1978 - September 26, 1979
LOEB PARTNERS
February 24, 1978 - December 2, 1978
MORGAN STANLEY DW INC.
October 7, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
February 6, 1974 - November 8, 1976
CITIGROUP GLOBAL MARKETS INC.
November 26, 1972 - February 18, 1974
REYNOLDS SECURITIES, 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
PC
Date: 5/17/1977
AMEX Put and Call ExamSeries 1
Date: 12/18/1972
Registered Representative ExaminationCurrent Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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.
