Charles J. Kohler
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.
Charles John Kohler, who also goes by John Kohler, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 6 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
October 8, 2015 - February 3, 2017
MOSAIC CAPITAL, LLC
September 2, 2010 - October 14, 2013
CANTOR FITZGERALD & CO.
June 2, 2010 - August 16, 2010
GFI SECURITIES LLC
January 21, 2009 - June 2, 2010
MIDSOUTH CAPITAL, INC.
May 23, 2006 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
August 6, 2002 - November 1, 2004
COUNTRYWIDE SECURITIES CORPORATION
February 2, 1995 - June 9, 1997
NATWEST MARKETS SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
MOSAIC CAPITAL, LLC
CRD#: 171587 / SEC#: , 8-69469
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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