Buddy S. Cohen
Professional summary
Buddy Samuel Cohen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Buddy is a previously registered financial professional and started their career in finance in 1955. Prior to being barred, Buddy had worked at 7 firms, which includes RYAN BECK & CO., JOSEPHTHAL & CO. INC., JJC SECURITIES CO. INC., HANIFEN IMHOFF SECURITIES CORP., MOORE & SCHLEY CAMERON & CO., BRUNS NORDEMAN REA & CO., HIRSCH & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2001 - June 19, 2007
RYAN BECK & CO.
October 16, 1991 - November 5, 2001
JOSEPHTHAL & CO., INC.
January 31, 1990 - October 17, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
March 15, 1983 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
August 26, 1970 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
March 30, 1955 - April 30, 1971
HIRSCH & CO.
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: 10/15/1981
Interest Rate Options ExaminationSeries 12
Date: 11/13/1964
NYSE Branch Manager ExaminationCurrent Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
Red Flags
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