Steven 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.
Steven A Cohen, who also goes by Steven A Cohen, Steven Aaron Cohen, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2003. Steven had worked at 5 firms and has passed the Series 63 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
December 1, 2011 - November 19, 2012
LIGHTSPEED TRADING, LLC
January 1, 2011 - December 5, 2011
POTAMUS TRADING, LLC
September 28, 2007 - August 29, 2008
MOG CAPITAL L.L.C.
April 4, 2005 - October 26, 2007
GERONIMO LLC
October 24, 2003 - March 31, 2005
BASIL INVESTMENT GROUP LLC
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
LIGHTSPEED TRADING, LLC
CRD#: 35519 / SEC#: , 8-46795
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
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.
