Richard Alan Cohen

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	1998-04-12
TX	RA	APPROVED_RES	1993-03-11

IL RA
APPROVED

Since 1998-04-12
TX RA
APPROVED_RES

Since 1993-03-11

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

Chicago, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Oak Brook	IL	05/1985	Present
Bank Of America, Na	Chicago	IL	12/2009	Present

05/1985 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oak Brook, IL
12/2009 → Present

Bank Of America, Na

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-01-05
S63	Uniform Securities Agent State Law Examination	1985-08-22

S65 Uniform Investment Adviser Law Examination

1994-01-05
S63 Uniform Securities Agent State Law Examination

1985-08-22

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

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