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Benjamin Neil Cohen

Wells Fargo Clearing Services, LLC

New York, NY

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2021-05-11
TX RA APPROVED 2018-05-11
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2021-05-11
  • TX RA
    APPROVED
    Since 2018-05-11

Branch Locations

280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 01/2008 05/2018
Wells Fargo Clearing Services Llc New York NY 05/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-02-09
S63 Uniform Securities Agent State Law Examination 2003-02-21
  • S65 Uniform Investment Adviser Law Examination
    2021-02-09
  • S63 Uniform Securities Agent State Law Examination
    2003-02-21

View on SEC IAPD

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