David E. Cohn
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.
David Edward Cohn was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2014 - July 1, 2022
M. S. HOWELLS & CO.
March 22, 2010 - May 7, 2014
RAYMOND JAMES & ASSOCIATES, INC.
May 31, 2005 - March 3, 2010
WFG INVESTMENTS, INC.
February 18, 1999 - June 13, 2005
RBC CAPITAL MARKETS, LLC
January 23, 1993 - February 8, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 1, 1990 - February 5, 1993
UBS FINANCIAL SERVICES INC.
June 1, 1988 - September 28, 1990
MORGAN STANLEY DW INC.
April 10, 1986 - June 9, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1985 - June 6, 1986
RAUSCHER PIERCE REFSNES, INC.
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
Current Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
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.
