Steven J. Cochlan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven J Cochlan, who also goes by Steve Cochlan, Steven James Cochlan, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2017 - January 13, 2026
KESTRA INVESTMENT SERVICES, LLC
April 15, 2011 - April 13, 2017
LPL FINANCIAL LLC
December 11, 2003 - April 18, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 18, 2000 - December 12, 2003
SECURITIES AMERICA, INC.
December 9, 1994 - February 25, 2000
MUTUAL SERVICE CORPORATION
November 12, 1992 - November 15, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 2, 1988 - March 29, 1988
MML INVESTORS SERVICES, LLC
April 8, 1987 - May 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 29, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
August 9, 1983 - June 12, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
January 7, 1983 - September 20, 1983
MML INVESTORS SERVICES, LLC
November 30, 1982 - September 6, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
