Alan I. Cohen

Some features on this profile are disabled

CRD#: 49730

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 Irwin Cohen, who also goes by Alan Irwin Cohen, Alan Cohen, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1970. Alan had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 40 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alan Irwin Cohen | Alan Cohen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 26, 2017 - January 3, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SHORT HILLS, NJ

Past

July 26, 2017 - January 3, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SHORT HILLS, NJ

Past

June 1, 2009 - July 20, 2017

MORGAN STANLEY

RIA

CRD#: 149777

BOCA RATON, FL

Past

June 1, 2009 - July 20, 2017

MORGAN STANLEY

CRD#: 149777

BOCA RATON, FL

Past

March 20, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SHORT HILLS, NJ

Past

March 20, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SHORT HILLS, NJ

Past

November 17, 2005 - April 2, 2008

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WHIPPANY, NJ

Past

November 17, 2005 - April 2, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

WHIPPANY, NJ

Past

August 20, 2003 - December 1, 2005

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

FLORHAM PARK, NJ

Past

March 9, 2002 - December 1, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 1, 1999 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 25, 1995 - September 1, 1999

GIBRALTAR SECURITIES CO.

CRD#: 7093

FLORHAM PARK, NJ

Past

March 13, 1989 - May 11, 1995

FIRST INSTITUTIONAL SECURITIES, L.L.C.

CRD#: 23910

WEST PATERSON, NJ

Past

February 1, 1989 - June 26, 1989

BROADWAY FINANCIAL INVESTMENT SERVICES CORP.

CRD#: 23906

Past

August 8, 1984 - February 1, 1989

GLICKENHAUS & CO. - NEW JERSEY

CRD#: 7302

Past

February 19, 1982 - December 26, 1986

LISS TENNER & GOLDBERG SECURITIES CORPORATION

CRD#: 8173

Past

December 9, 1980 - May 12, 1982

GLICKENHAUS & CO. - NEW JERSEY

CRD#: 7302

Past

January 26, 1979 - November 30, 1979

NORTHFIELD INVESTMENTS INC.

CRD#: 7621

Past

November 10, 1976 - September 19, 1983

MARKS, ALLEN & CO.

CRD#: 7211

Past

February 6, 1970 - August 18, 1973

HOWARD LAWRENCE & CO., INC.

CRD#: 4273

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/16/1966

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 10/25/1976

Registered Principal Examination

Principal/Supervisory Exam

Series 00

Date: 1/23/1970

General Securities Principal Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(800) 637-7455

Established

Delaware since 11/10/1958

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

33,689

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

ADVICE ACCESS BROCHURE (3/21/2025)

MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
BAC NORTH AMERICA HOLDING COMPANY	SHAREHOLDER
AXELROD, SUSAN F	CHIEF COMPLIANCE OFFICER	6949587
FAHMY, NANCY MONIR	DIRECTOR	2689751
GELLENE, MATTHEW THOMAS	DIRECTOR	1977160
HANS, LINDSAY DENARDO	STATE DESIGNATED PRINCIPAL & DIRECTOR	4429443
HEATON, DAVID CARLETON JR	CHIEF LEGAL OFFICER	5972432
MOONEY, SARA RATHBONE	CHIEF FINANCIAL OFFICER	7616382
SABBIA, LORNA ROSE	DIRECTOR	1873495
SANTANNA, VINCENT C.	CHIEF OPERATIONS OFFICER & FINOP	5290525
SCHIMPF, ERIC A	DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL	2494318

Regulatory assets under management

Total Number of Accounts	3,085,811
AUM (Assets Under Management)	$ 1,511,090,925,436

Disclosures

Regulatory Event	610
Civil Event	4
Arbitration	878

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
08/24/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan I. Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

GIBRALTAR SECURITIES CO.

FIRST INSTITUTIONAL SECURITIES, L.L.C.

BROADWAY FINANCIAL INVESTMENT SERVICES CORP.

GLICKENHAUS & CO. - NEW JERSEY

LISS TENNER & GOLDBERG SECURITIES CORPORATION

GLICKENHAUS & CO. - NEW JERSEY

NORTHFIELD INVESTMENTS INC.

MARKS, ALLEN & CO.

HOWARD LAWRENCE & CO., INC.

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2003

Series 63

Date: 3/13/1981

SIE

Date: 1/3/2018

Series 1

Date: 3/16/1966

Series 40

Date: 10/25/1976

Series 00

Date: 1/23/1970

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUST BUT VERIFY

Similar Advisors