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KH

Kobina G. Hagan

Some features on this profile are disabled
CRD#: 1901637
KH

Professional summary

Kobina Gyesi Hagan was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kobina Gyesi Hagan was a registered financial professional .

Kobina is a previously registered financial professional and started their career in finance in 1989. Kobina had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 5, 2012 - January 19, 2018

HEROLD & LANTERN INVESTMENTS, INC.

BD
CRD#: 30996
WOLCOTT, CT
Past

July 16, 2012 - August 8, 2012

ADIRONDACK TRADING GROUP LLC

BD
CRD#: 103910
NEW WOODSTOCK, NY
Past

January 12, 2012 - June 20, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
WOLCOTT, CT
Past

February 18, 2010 - December 5, 2011

BROKERSXPRESS LLC

BD
CRD#: 127081
WATERBURY, CT
Past

May 31, 2005 - February 22, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
WATERBURY, CT
Past

September 22, 1994 - June 2, 2005

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 4, 1991 - September 30, 1994

COMPULIFE INVESTOR SERVICES, INC.

BD
CRD#: 21543
ST. CLOUD, MN
Past

February 3, 1989 - March 27, 1991

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

February 3, 1989 - March 27, 1991

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/1994
General Securities Principal Examination

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

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