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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Ann Cohen is an active investment advisor registered with the Securities and Exchange Commission (SEC). Barbara has been in the industry since 1995, and has worked with several prominent firms including UBS Financial Services Inc., Citigroup Global Markets Inc., and Morgan Stanley. Currently, Barbara is a registered representative and Investment Advisor Representative (IAR) with Merrill Lynch, Pierce, Fenner & Smith Inc., and is based out of Melville, NY. Barbara holds a Series 7, 9, 10, 31 and SIE license and has been registered with the SEC in 33 states for broker-dealer registration and 3 states for Investment Advisor registration.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
10/17/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
06/01/2009 - 10/11/2013
MORGAN STANLEY (MELVILLE NY)
NY
03/12/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MELVILLE NY)
NY
11/19/1999 - 03/01/2007
UBS FINANCIAL SERVICES INC. (HUNTINGTON NY)
NY
05/04/1995 - 12/09/1999
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
BOTH
Issued 03/11/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/25/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/17/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 05/03/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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