Harold K. 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.
Harold Kenneth Cohen was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1969. Harold had worked at 7 firms and has passed the Series 63, SIE, PC, 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
July 29, 2013 - August 20, 2019
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
May 31, 2013 - July 31, 2013
WESTON FINANCIAL SERVICES LLC
April 15, 1992 - February 1, 2013
ACGM, INC.
January 11, 1990 - April 22, 1992
GRUNTAL & CO., L.L.C.
October 17, 1986 - January 11, 1990
MCKINLEY ALLSOPP, INC.
October 28, 1975 - August 11, 1986
J.P. MORGAN SECURITIES LLC
April 21, 1969 - November 27, 1975
LEHMAN BROTHERS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/9/1990
AMEX Put and Call ExamSeries 1
Date: 4/4/1961
Registered Representative ExaminationCurrent Firm
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD#: 135131 / SEC#: , 8-66889
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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