Alan L. 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.
Alan Leslie Cohen, who also goes by Alan Cohen, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1977. Alan had worked at 8 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 1989 - September 21, 1990
HASAN GROWNEY CO. INC.
February 13, 1987 - December 14, 1987
STUART, COLEMAN & CO., INC.
October 24, 1985 - February 1, 1991
RECTOR CAPITAL CORP.
April 29, 1982 - November 25, 1989
HERZOG, HEINE, GEDULD, LLC
November 3, 1980 - May 26, 1982
B-R SECURITIES CORP.
April 28, 1980 - November 23, 1980
MOORE & SCHLEY, CAMERON & CO.
March 20, 1979 - May 2, 1980
JII SECURITIES INC.
September 1, 1977 - May 4, 1979
E. F. HUTTON & COMPANY INC
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
HASAN GROWNEY CO. INC.
CRD#: 17137 / SEC#: , 8-35095
Contact information
Documents
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.
