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Alan Sully Cohen

Ubs Financial Services Inc.

Nashville, TN

Weehawken, NJ

Memphis, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2004-01-13
  • TN RA
    APPROVED
    Since 2004-01-13

Branch Locations

3102 West End Avenue, Nashville, TN 37203 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

6070 Poplar Avenue Suite 400, Memphis, TN 38119 • 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. Memphis TN 09/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-17
S63 Uniform Securities Agent State Law Examination 1986-03-25
  • S65 Uniform Investment Adviser Law Examination
    1999-12-17
  • S63 Uniform Securities Agent State Law Examination
    1986-03-25

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
U.S. BANCORP ADVISORS, LLC · Nashville, TN

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