Allen Cohen is a registered investment advisor, based in Canandaigua, NY, with 47 years of industry experience. Allen is also registered as a broker, so some compensation may come from commissions on products sold.
Location
468 South Pearl Street, Suite B, Canandaigua, NY, 14424
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Regulatory History (5)
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Employment Separation After Allegations
March 2025Customer Dispute
February 1999Closed-No Action
Customer Dispute
October 1998Pending
Customer Dispute
October 1998Settled
Customer Dispute
March 1993Settled
Employment History
Current Registrations
Vanderbilt Advisory Services
March 2025 - Present · 1 yr 7 mos
Vanderbilt Securities, LLCBroker
March 2025 - Present · 1 yr 7 mos
Previous Registrations
LPL Financial LLC
September 2011 - March 2025 · 13 yrs 6 mos
LPL Financial LLCBroker
September 2011 - March 2025 · 13 yrs 6 mos
RBC Capital Markets Corporation
February 2006 - June 2010 · 4 yrs 4 mos
RBC Capital Markets CorporationBroker
June 2005 - June 2010 · 5 yrs
Citigroup Global Markets INC.Broker
July 1998 - July 2005 · 7 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1990 - June 1998 · 8 yrs 5 mos
Essex Capital Markets, INC.Broker
October 1989 - January 1990 · 3 mos
Dean Witter Reynolds INC.Broker
December 1983 - October 1989 · 5 yrs 10 mos
Prudential-Bache Securities INC.Broker
March 1978 - January 1984 · 5 yrs 10 mos
State Registrations3 states
FLNYPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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