Alfred L. 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.
Alfred Lewis Cohen, who also goes by Al Cohen, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1967. Alfred had worked at 4 firms and has passed the Series 63, SIE, Series 5, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2014 - March 4, 2015
BRILL SECURITIES, INC.
January 3, 2003 - July 2, 2014
OPPENHEIMER & CO. INC.
February 5, 1988 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 23, 1967 - February 4, 1988
L. F. ROTHSCHILD & 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 5
Date: 9/29/1982
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 1/16/1957
Registered Representative ExaminationSeries 40
Date: 8/22/1977
Registered Principal ExaminationCurrent Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
