Harvey S. Cohan
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.
Harvey Stuart Wood Cohan, who also goes by Harv Stuart Wood Cohan, Harvey Stuart Cohan, Harvey S Woodcohan, Harvey Stuart Woodcohan, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1985. Harvey had worked at 9 firms and has passed the 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
September 28, 2009 - April 10, 2015
INVEST FINANCIAL CORPORATION
September 22, 2009 - April 10, 2015
INVEST FINANCIAL CORPORATION
February 20, 2004 - July 21, 2008
MSI FINANCIAL SERVICES, INC.
December 19, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 2003 - July 21, 2008
MSI FINANCIAL SERVICES, INC.
November 15, 2002 - July 30, 2003
HIGH MARK SECURITIES, INC.
February 10, 2000 - December 13, 2002
MONY SECURITIES CORPORATION
November 12, 1999 - December 13, 2002
MONY SECURITIES CORPORATION
July 15, 1996 - October 1, 1996
OGILVIE SECURITY ADVISORS CORPORATION
July 15, 1996 - December 31, 1997
MUTUAL SERVICE CORPORATION
December 5, 1986 - August 2, 1994
PRUCO SECURITIES, LLC.
July 22, 1985 - January 29, 1986
ROTHSCHILD EQUITY MANAGEMENT GROUP, 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
