James E. Cohen
Professional summary
James Edward Cohen was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, James had worked at 7 firms, which includes ALDEN CAPITAL MARKETS INC., HORNBLOWER & WEEKS INC., RICKEL & ASSOCIATES INC., R.C. STAMM & CO. INC., PHILIPS APPEL & WALDEN INC., ROONEY PACE INC., ILICOB SALES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 1996 - April 1, 1997
ALDEN CAPITAL MARKETS, INC.
March 27, 1995 - November 14, 1996
HORNBLOWER & WEEKS, INC.
September 22, 1994 - March 17, 1995
RICKEL & ASSOCIATES, INC.
May 25, 1988 - October 24, 1988
R.C. STAMM & CO., INC.
February 6, 1987 - April 16, 1988
PHILIPS, APPEL & WALDEN, INC.
May 31, 1979 - June 19, 1986
ROONEY, PACE INC.
February 26, 1979 - April 28, 1979
ILICOB SALES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
ALDEN CAPITAL MARKETS, INC.
CRD#: 25314 / SEC#: , 8-41638
Contact information
Documents
Red Flags
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