Phillip E. 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.
Phillip Ean Cohen was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1974. Phillip had worked at 5 firms and has passed the Series 63 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
April 18, 1985 - February 28, 2005
MORGAN SCHIFF & CO.,INC.
November 14, 1980 - April 12, 1984
CIBC WORLD MARKETS CORP.
February 22, 1978 - January 31, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 7, 1974 - February 22, 1978
KUHN LOEB & CO. INCORPORATED
May 7, 1974 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
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 1
Date: 5/2/1974
Registered Representative ExaminationCurrent Firm
MORGAN SCHIFF & CO.,INC.
CRD#: 15470 / SEC#: , 8-32185
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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