Lawrence J. Kohn
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.
Lawrence Jay Kohn was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1989. Lawrence had worked at 4 firms and has passed the Series 66, 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
February 13, 2015 - December 31, 2023
NEUBERGER BERMAN BD LLC
February 21, 2014 - December 31, 2023
NEUBERGER BERMAN BD LLC
April 30, 1997 - July 3, 2001
EVERCORE GROUP L.L.C.
September 30, 1993 - September 17, 1996
MORGAN STANLEY & CO. LLC
December 14, 1989 - July 2, 1992
BLACKSTONE SECURITIES PARTNERS L.P.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
Red Flags
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