ALVIN DEE COHEN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 10955 LOWELL STE 900 and 910, OVERLAND PARK, KS, 66210.
ALVIN DEE COHEN has worked at CETERA ADVISORS LLC since May 05, 2017
Disclosure History
ALVIN DEE COHEN has 1 Disclosure Event(s).
Date: December 09, 2015 Category: Customer Dispute Allegations: The new 401k company administrator alleges the surrender fees are too high and not the best product choice. Damage Amount Requested: $25,000.00 Broker Comment: This plan was established about 17 years ago. In 2014 the practice was sold and the new owner wanted to integrate this plan into their own plan. I explained that there would be around $25,000 of surrender charges if the annuity contracts were cashed out immediately, but if they were kept in a separate account of the new plan for up to 3 years, they would avoid surrender charges. The new owner liquidated all the assets and wanted me to pay the surrender charges, which I declined to do. That appears to have ended the discussion. I believe this complaint is without any merit.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ALVIN DEE COHEN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.