Rochelle Cohen

CRD 702493 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Forest Hills, NY

IA RegisteredBroker

Also appears in the source record as: Rochelle S Cohen; Rochelle Susan Cohen; Shelley Cohen; Rochelle Cohen Einig

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 63Series 65Series 8Series 10Series 9Series 14Series 27Series 24SIESeries 7Series 15
Registered states (7): California · Connecticut · District Of Columbia · Florida · New Jersey · New York · Texas
Years in the industry (source record): 47
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 702493 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Forest Hills, NY · IA capacity

Oct 30, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Forest Hills, NY · BC capacity

start not retrieved → present
Securities America, Inc.
BD capacity

Jan 24, 2011 → Oct 12, 2018
The Dreyfus Service Corporation
BD capacity

Feb 8, 2000 → Apr 27, 2001
Bear, Stearns & Co. Inc.
BD capacity

Apr 30, 1999 → Jan 5, 2000
Imperial Capital, LLC
BD capacity

Oct 20, 1998 → Apr 26, 1999
Ladenburg, Thalmann & Co., Inc.
BD capacity

Jul 29, 1997 → Oct 22, 1998
M. J. Whitman, Inc.
BD capacity

Feb 6, 1997 → Jul 28, 1997
Bear, Stearns & Co. Inc.
BD capacity

Aug 1, 1991 → Jan 22, 1997
Brill Securities, Inc.
BD capacity

Feb 17, 1987 → Jul 24, 1991
Seligman Securities, Inc.
BD capacity

Feb 4, 1985 → Mar 25, 1987
Smith Barney, Harris Upham & Co., Incorporated
BD capacity

Jul 10, 1984 → Feb 7, 1985
L. F. Rothschild, Unterberg, Towbin
BD capacity

Feb 22, 1982 → Jul 16, 1984
Moseley, Hallgarten, Estabrook & Weeden, Inc.
BD capacity

Aug 8, 1980 → Mar 2, 1982
Oppenheimer & Co., Inc.
BD capacity

Dec 19, 1979 → Aug 31, 1980

Source & corrections

Where this page comes from

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