Louis Cohen
Professional summary
Louis Cohen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Louis is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Louis had worked at 9 firms, which includes FIRST COLONIAL SECURITIES, INVESTORS ASSOCIATES INC., FLORIDA FINANCIAL CENTERS INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, BARBER & BRONSON INCORPORATED, PALM BEACH FINANCIAL INC., BISCAYNE SECURITIES CORPORATION, COWEN SECURITIES INC., FINANCIAL SQUARE PARTNERS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1997 - February 16, 1999
FIRST COLONIAL SECURITIES
September 21, 1995 - January 4, 1997
INVESTORS ASSOCIATES, INC.
January 23, 1995 - September 25, 1995
FLORIDA FINANCIAL CENTERS, INC.
June 6, 1994 - September 30, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 4, 1991 - June 28, 1994
BARBER & BRONSON INCORPORATED
September 5, 1989 - January 22, 1991
PALM BEACH FINANCIAL, INC.
August 4, 1988 - January 24, 1990
BISCAYNE SECURITIES CORPORATION
May 6, 1981 - November 16, 1987
COWEN SECURITIES INC.
June 22, 1978 - February 15, 1981
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST COLONIAL SECURITIES
CRD#: 25121 / SEC#: , 8-41587
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL DIRECT FINANCIAL GROUP, INC. | HOLDING CORPORATION | |
| AXELROD, IRWIN | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 9180 |
| CAMPANELLA, RICHARD ANTHONY | COO AND BOCA RATON BRANCH MANAGER | |
| GALTERIO, RICHARD LOUIS | BRANCH MANAGER-NEW YORK | 1466226 |
| MARTIN, JEFFREY STEVEN | MUNICIPAL PRINCIPAL | 321321 |
| MIRMAN, ALVIN SAUL | DIRECTOR OF RESEARCH | |
| MIRMAN, ALVIN SAUL | FINANCIAL AND OPERATIONS PRINCIPAL | |
| MOSS, MICHAEL EARL | DIRECTOR | 601445 |
| SIEGEL, MARC NEIL | PRESIDENT & CEO | 1449845 |
Disclosures
| Regulatory Event | 8 |
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