Seth E. Cogan
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.
Seth Evan Cogan was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1989. Seth had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2002 - October 21, 2019
HEROLD & LANTERN INVESTMENTS, INC.
July 2, 2002 - July 17, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1999 - July 17, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 15, 1997 - August 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1995 - May 5, 1997
GIBRALTAR SECURITIES CO.
November 23, 1993 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
December 19, 1989 - December 9, 1993
KIDDER, PEABODY & CO. INCORPORATED
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
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
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.
