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Larry Alan Kohn

CRD# 1671054·Registered 1987 - 2022
Previously Registered: Being a previously registered professional could mean that Larry 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.

Professional Summary

Larry Alan Kohn was a registered financial advisor. Larry was a previously registered financial professional and started their career in finance 1987 - 2022. Larry had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
New York, NY
September 23, 2020 - February 24, 2022
UBS ASSET MANAGEMENT (US) INC.·CRD# 583
BD
New York, NY
December 18, 2019 - May 21, 2020
INTE SECURITIES LLC·CRD# 47107
BD
New York, NY
August 7, 2017 - September 5, 2019
M HOLDINGS SECURITIES, INC.·CRD# 43285
RIA
Rye, NY
June 4, 2013 - February 24, 2016
M HOLDINGS SECURITIES, INC.·CRD# 43285
BD
Portland, OR
May 31, 2013 - February 24, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.·CRD# 102920
BD
New York, NY
March 28, 2005 - June 22, 2011
QUELLOS FIXED INCOME ADVISORS LLC·CRD# 108912
RIA
New York, NY
November 13, 2002 - March 15, 2004
QUELLOS CAPITAL MANAGEMENT LP·CRD# 106683
RIA
New York, NY
November 13, 2002 - June 30, 2004
CFT SECURITIES, LLC·CRD# 46226
BD
Princeton, NJ
June 27, 2002 - June 30, 2004
LAZARD FRERES & CO. LLC·CRD# 2528
BD
New York, NY
June 19, 1996 - January 27, 2000
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
May 21, 1987 - May 28, 1996

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Current Firm

FF
FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone Number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER—
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2002About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 2002About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2005About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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