Sonja B. Kohn
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.
Sonja Blau Kohn was a registered financial professional .
Sonja is a previously registered financial professional and started their career in finance in 1985. Sonja had worked at 6 firms and has passed the Series 63, Series 3, Series 15, Series 7 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
March 23, 1989 - July 17, 1990
MARCH CAPITAL CORP.
February 24, 1989 - March 23, 1989
SAVOIA, INC.
June 11, 1987 - May 14, 1993
WINDSOR IBC, INC.
April 10, 1987 - April 19, 1988
CIBC WORLD MARKETS CORP.
May 31, 1985 - April 10, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 1985 - July 22, 1985
E.L. PRICE BANK CAPITAL
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 15
Date: 5/29/1985
Foreign Currency Options ExaminationCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
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.
