Arthur 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.
Arthur Emil Cohen was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1980. Arthur had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1996 - June 26, 1996
ARTHURS, LESTRANGE & COMPANY INCORPORATED
December 23, 1994 - January 16, 1996
PNC BROKERAGE CORP
July 9, 1993 - December 23, 1994
PNC CAPITAL MARKETS LLC
February 7, 1990 - August 6, 1992
KIDDER, PEABODY & CO. INCORPORATED
March 28, 1989 - July 13, 1989
HEFREN-TILLOTSON, INC.
April 11, 1988 - April 19, 1989
LEHMAN BROTHERS INC.
October 18, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 22, 1980 - October 26, 1982
PARKER/HUNTER 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
Current Firm
ARTHURS, LESTRANGE & COMPANY INCORPORATED
CRD#: 54 / SEC#: , 8-36341
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALCO HOLDING, INC. | 100% OWNER | |
| BEAR, LESLIE LEE | PRESIDENT AND DIRECTOR | 1736090 |
| BOVA, MICHAEL PETER | CHAIRMAN AND CEO | 1195169 |
| GINSBERG, SAMUEL CHARLES | DIRECTOR, CROP | 1447356 |
| POGOZELSKI, RICHARD PAUL | SENIOR VICE PRESIDENT, SROP | 368247 |
| SOFIS, GEORGE GEORGE | SENIOR VICE PRESIDENT, TREASURER | 430117 |
| VALOTTA, EILEEN TERESA | CONTROLLER | 866333 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
