Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Sully Cohen is a financial advisor with UBS Financial Services Inc. and has been in the industry since October 31, 1979. Alan is registered with the state of Tennessee as both a Broker and an Investment Advisor. Alan has held positions with several other firms during his career, including PaineWebber Incorporated, Forum Securities, Inc., and Brenner Steed, Inc. Alan specializes in providing financial advice to individuals, businesses, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TN
01/13/2004 - Present
UBS Financial Services Inc. (NASHVILLE TN)
NA
04/04/1994 - 09/27/1995
CALIBRE FINANCIAL GROUP, INC.
NJ
03/22/1991 - 04/06/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
TX
11/12/1986 - 04/08/1991
FORUM SECURITIES, INC. (DALLAS TX)
NA
03/03/1986 - 09/16/1986
SECURITY PACIFIC BROKERS, INC.
NA
04/28/1983 - 03/05/1986
BRENNER STEED, INC.
NA
06/16/1982 - 04/18/1983
DIS-COM SECURITIES, INC.
NA
12/03/1980 - 10/01/1982
BALOGH SECURITIES, INC.
NA
08/28/1979 - 12/24/1980
ROSENBLUM LEVIN SECURITIES CORP.
IA
Issued 12/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/19/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/22/1982
Series 24 - General Securities Principal Examination
BC
Issued 03/25/1982
Series 4 - Registered Options Principal Examination
BC
Issued 01/27/1982
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1979
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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