Seth A. 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.
Seth Avery Cohen was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1993. Seth had worked at 7 firms and has passed the Series 63, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2010 - April 26, 2010
INVESCOR WHOLESALE BD, INC.
June 5, 2001 - July 30, 2003
SCHONFELD SECURITIES, LLC
April 8, 1998 - July 13, 1998
LITWIN SECURITIES INC.
November 9, 1995 - April 8, 1996
MEYERS POLLOCK ROBBINS, INC.
July 12, 1994 - November 28, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 25, 1994 - July 8, 1994
MAIDSTONE FINANCIAL, INC.
October 21, 1993 - April 22, 1994
WESTFIELD FINANCIAL CORPORATION
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
INVESCOR WHOLESALE BD, INC.
CRD#: 139828 / SEC#: , 8-67249
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEIBOWITZ, MICHAEL ABRAHAM | PRESIDENT, VICE PRESIDENT, TREASURER, SOLE DIRECTOR,EXECUTIVE REP | 1066275 |
| LEIBOWITZ, MICHAEL ABRAHAM | CHIEF OPERATING OFFICER | 1066275 |
| WASSMANN, MICHAEL GUSTAVE | CHIEF COMPLIANCE OFFICER | 5621134 |
| WASSMANN, MICHAEL GUSTAVE | GENERAL COUNSEL | 5621134 |
| WASSMANN, MICHAEL GUSTAVE | SECRETARY | 5621134 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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