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HC

Harry D. Cohen

FRANKLIN DISTRIBUTORS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 49893
HC

Professional summary

Harry David Cohen, who also goes by Herschel Cohen, Hersh Cohen, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

Harry is registered as a RR (Registered Representative) and started their career in finance in 1969. Harry has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Herschel Cohen | Hersh 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) - BD

Click below to view Harry David Cohen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 1, 2005 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010
BD
CRD#: 109064
NEW YORK, NY
Past

July 31, 1993 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 26, 1979 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

BD
CRD#: 7394
Past

October 13, 1969 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(12/1/2005)
RR
California
(12/1/2005)
RR
Colorado
(12/1/2005)
RR
Connecticut
(12/1/2005)
RR
Delaware
(12/1/2005)
RR
District of Columbia
(12/1/2005)
RR
Florida
(12/1/2005)
RR
Georgia
(12/1/2005)
RR
Illinois
(12/1/2005)
RR
Indiana
(12/1/2005)
RR
Iowa
(12/1/2005)
RR
Kentucky
(12/1/2005)
RR
Louisiana
(12/1/2005)
RR
Maine
(12/1/2005)
RR
Maryland
(12/1/2005)
RR
Massachusetts
(12/1/2005)
RR
Michigan
(12/1/2005)
RR
Minnesota
(12/1/2005)
RR
Missouri
(12/1/2005)
RR
Montana
(12/1/2005)
RR
Nebraska
(12/1/2005)
RR
New Hampshire
(12/1/2005)
RR
New Jersey
(12/1/2005)
RR
New Mexico
(12/1/2005)
RR
New York
(12/1/2005)
RR
North Carolina
(12/1/2005)
RR
Ohio
(12/1/2005)
RR
Oklahoma
(12/1/2005)
RR
Oregon
(12/1/2005)
RR
Pennsylvania
(12/1/2005)
RR
Rhode Island
(12/1/2005)
RR
South Carolina
(12/1/2005)
RR
Texas
(12/1/2005)
RR
Vermont
(12/1/2005)
RR
Virginia
(12/1/2005)
RR
Washington
(12/1/2005)
RR
West Virginia
(12/1/2005)
RR
Wisconsin
(12/1/2005)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/15/1991
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/7/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 5/17/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 10/10/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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.

Company Information

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064New York, NY 10010

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