HC
Hugh D. Coherd
LADENBURG THALMANN & CO.
Boca Raton, FL 33431
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CRD#: 2084560
HC
Professional summary
Hugh David Coherd, who also goes by Hugh David Cowherd, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in Boca Raton, Florida.
Hugh is registered as a RR (Registered Representative) and started their career in finance in 1990. Hugh has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Hugh David Cowherd
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.
CRS (Client Relationship Summary) - BD
Click below to view Hugh David Coherd's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 5, 2009 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431BD
CRD#: 505
Boca Raton, FL
Past
March 16, 2007 - November 6, 2009
MOODY CAPITAL SOLUTIONS, INC
BD
CRD#: 15989
ALPHARETTA, GA
Past
December 14, 2004 - October 10, 2007
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
ALPHARETTA, GA
Past
July 15, 1999 - February 25, 2005
CARDINAL SECURITIES LLC
BD
CRD#: 46731
ALPHARETTA, GA
Past
November 22, 1995 - February 5, 1997
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
March 13, 1991 - December 7, 1995
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
August 14, 1990 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/5/2009)
RR
Colorado(3/28/2011)
RR
Connecticut(3/29/2011)
RR
Florida(5/26/2010)
RR
Georgia(11/5/2009)
RR
Illinois(11/5/2009)
RR
Maryland(3/28/2011)
RR
Massachusetts(3/24/2011)
RR
Minnesota(7/16/2013)
RR
New Jersey(11/15/2012)
RR
New York(11/5/2009)
RR
North Carolina(8/7/2013)
RR
Ohio(8/6/2013)
RR
Pennsylvania(3/25/2011)
RR
Puerto Rico(3/27/2019)
RR
Tennessee(2/19/2013)
RR
Texas(6/16/2010)
RR
Virgin Islands(1/9/2020)
RR
Wisconsin(4/18/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 4/27/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.
CRD#: 505 / SEC#: , 8-17230
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LADENBURG THALMANN & CO. INC.
CRD#: 505Boca Raton, FL 33431TRUST BUT VERIFY
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