BM
Brewster A. Mockridge
COHEN & COMPANY SECURITIES
New York, NY 10019
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CRD#: 7573637
BM
Professional summary
Brewster Alling Mockridge, who also goes by Brewster Mockridge, is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in New York, New York.
Brewster is registered as a RR (Registered Representative) and started their career in finance in 2023. Brewster has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brewster Mockridge
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.
CRS (Client Relationship Summary) - BD
Click below to view Brewster Alling Mockridge's 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®
NoneExperience
Current
January 17, 2025 - Present
COHEN & COMPANY SECURITIES, LLC
Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019BD
CRD#: 149758
New York, NY
Past
September 8, 2023 - January 21, 2025
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
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
Alabama(1/17/2025)
RR
Alaska(1/17/2025)
RR
Arizona(1/17/2025)
RR
Arkansas(1/17/2025)
RR
California(1/17/2025)
RR
Colorado(1/17/2025)
RR
Connecticut(1/17/2025)
RR
Delaware(1/17/2025)
RR
District of Columbia(1/17/2025)
RR
Florida(1/17/2025)
RR
Georgia(1/17/2025)
RR
Hawaii(1/17/2025)
RR
Idaho(1/17/2025)
RR
Illinois(1/17/2025)
RR
Indiana(1/17/2025)
RR
Iowa(1/17/2025)
RR
Kansas(1/17/2025)
RR
Kentucky(1/17/2025)
RR
Louisiana(1/17/2025)
RR
Maine(1/17/2025)
RR
Maryland(1/17/2025)
RR
Massachusetts(1/17/2025)
RR
Michigan(1/17/2025)
RR
Minnesota(1/17/2025)
RR
Mississippi(1/17/2025)
RR
Missouri(1/17/2025)
RR
Montana(1/17/2025)
RR
Nebraska(1/17/2025)
RR
Nevada(1/17/2025)
RR
New Hampshire(1/17/2025)
RR
New Jersey(1/17/2025)
RR
New Mexico(1/17/2025)
RR
New York(1/17/2025)
RR
North Carolina(1/17/2025)
RR
North Dakota(1/17/2025)
RR
Ohio(1/17/2025)
RR
Oklahoma(1/17/2025)
RR
Oregon(1/17/2025)
RR
Pennsylvania(1/17/2025)
RR
Puerto Rico(1/17/2025)
RR
Rhode Island(1/17/2025)
RR
South Carolina(1/17/2025)
RR
South Dakota(1/17/2025)
RR
Tennessee(1/17/2025)
RR
Texas(1/17/2025)
RR
Utah(1/17/2025)
RR
Vermont(1/17/2025)
RR
Virgin Islands(1/17/2025)
RR
Virginia(1/17/2025)
RR
Washington(1/17/2025)
RR
West Virginia(1/17/2025)
RR
Wisconsin(1/17/2025)
RR
Wyoming(1/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/7/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 9/8/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC
CRD#: 149758 / SEC#: , 8-68186
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
