Lewis H. Cohen
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.
Lewis Holden Cohen was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1988. Lewis had worked at 8 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
May 7, 2015 - August 25, 2016
CHELSEA FINANCIAL SERVICES
March 30, 2009 - May 5, 2015
INVESTORS CAPITAL CORP.
October 23, 2002 - April 9, 2009
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
March 13, 1996 - June 1, 1999
STUART, COLEMAN & CO., INC.
January 4, 1993 - April 11, 1996
FIRST ASSET MANAGEMENT, INC.
November 20, 1990 - January 15, 1993
J. GREGORY & COMPANY, INC.
February 23, 1988 - November 23, 1990
THE STUART-JAMES COMPANY, 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
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
