Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rochelle? Claim Your ProfileRochelle Cohen is a financial professional with over 30 years of experience in the industry. Rochelle has held various roles at prominent financial institutions, including Smith Barney, Harris Upham & Co., Incorporated, Ladenburg, Thalmann & Co., Inc., Bear, Stearns & Co. Inc., and The Dreyfus Service Corporation. Rochelle is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Rochelle is a Series 7, 8, 9, 10, 14, 15, 24, 27, 63 and 65 licensed professional. Rochelle's experience and expertise allow her to provide a wide range of financial services to individuals, businesses, and institutions.
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
10/30/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FOREST HILLS NY)
NY
01/24/2011 - 10/12/2018
SECURITIES AMERICA, INC. (GARDEN CITY NY)
NY
02/08/2000 - 04/27/2001
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
NY
04/30/1999 - 01/05/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CA
10/20/1998 - 04/26/1999
IMPERIAL CAPITAL, LLC (LOS ANGELES CA)
NY
07/29/1997 - 10/22/1998
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
02/06/1997 - 07/28/1997
M. J. WHITMAN, INC. (NEW YORK NY)
NY
08/01/1991 - 01/22/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
02/17/1987 - 07/24/1991
BRILL SECURITIES, INC. (NEW YORK NY)
NA
02/04/1985 - 03/25/1987
SELIGMAN SECURITIES, INC.
NA
07/10/1984 - 02/07/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
02/22/1982 - 07/16/1984
L. F. ROTHSCHILD, UNTERBERG, TOWBIN
NA
08/08/1980 - 03/02/1982
MOSELEY, HALLGARTEN, ESTABROOK & WEEDEN, INC.
NA
12/19/1979 - 08/31/1980
OPPENHEIMER & CO., INC.
BC
Issued 02/04/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/13/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/14/1991
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/1991
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/25/1990
Series 14 - Compliance Officer Examination
BC
Issued 11/29/1988
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/26/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2011
Series 7 - General Securities Representative Examination
BC
Issued 12/07/1982
Series 15 - Foreign Currency Options 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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