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Derek Jeffrey Cohen

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Description

This advisor is no longer actively registered. Their most recent registration with Raymond James & Associates, Inc. ended in October 3, 2011.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Derek Jeffrey Cohen has not answered any questions on Financial Q&A.

Top Guides

Derek Jeffrey Cohen has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
Raymond James & Associates, Inc. 9 years, 10 months Jul 2003 - Present
Salomon Smith Barney Inc. 10 years Jul 1993 - Jul 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/03/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Not registered
Not registered
Disclosures

3 Customer Disputes

3 Customer Disputes
As of Date
10/03/2011
09/08/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 09/02/1992
Uniform Securities Agent State Law Examination Series 63 01/29/1992
General Securities Representative Examination Series 7 01/22/1992

Firm Compensation Arrangements

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No compensation arrangements listed.