John S. Somers
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.
John Smocer Somers was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 16 firms and has passed the Series 63, Series 6TO, 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
April 5, 2021 - July 18, 2022
COBALT CAPITAL, INC.
June 19, 2015 - November 5, 2020
ALT FUND DISTRIBUTORS LLC
June 3, 2014 - June 2, 2015
INTEGRITY FUNDS DISTRIBUTOR, LLC
November 21, 2006 - December 5, 2012
STATE FARM VP MANAGEMENT CORP.
April 14, 2005 - October 9, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 28, 1998 - December 7, 2004
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
July 2, 1998 - September 2, 1998
FUNDS DISTRIBUTOR, LLC
July 9, 1997 - June 4, 1998
CITICORP INVESTMENT SERVICES
September 3, 1996 - May 7, 1997
OCC DISTRIBUTORS LLC
May 9, 1996 - July 10, 1996
ASSETMARK CAPITAL CORPORATION
January 31, 1995 - February 24, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 11, 1993 - January 31, 1995
TRANSAMERICA FUND DISTRIBUTORS, INC.
May 6, 1991 - August 9, 1993
NSR DISTRIBUTORS, INC.
March 14, 1990 - July 5, 1990
W.J. NOLAN & COMPANY, INC.
May 26, 1989 - February 20, 1990
UBS FINANCIAL SERVICES INC.
January 1, 1988 - January 26, 1988
LEHMAN BROTHERS 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
COBALT CAPITAL, INC.
CRD#: 136161 / SEC#: , 8-66979
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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