Ernesto Kohn
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.
Ernesto Kohn, who also goes by Ernie Kohn, was a registered financial professional .
Ernesto is a previously registered financial professional and started their career in finance in 1996. Ernesto had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 6, Series 14 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
July 16, 2015 - April 4, 2024
ECOBAN SECURITIES CORPORATION
October 21, 2013 - February 19, 2015
W.A. CAPITAL MARKETS
April 1, 2008 - December 31, 2012
W.A. CAPITAL MARKETS
February 23, 2006 - May 10, 2006
RESRV PARTNERS, INC.
November 29, 2001 - June 2, 2005
SWISS AMERICAN SECURITIES INC.
July 24, 2000 - November 20, 2001
VIEWTRADE FINANCIAL
May 8, 1998 - March 9, 2000
MONY SECURITIES CORPORATION
December 6, 1996 - August 5, 1997
PRUCO SECURITIES, 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
ECOBAN SECURITIES CORPORATION
CRD#: 29112 / SEC#: , 8-39753
Contact information
Documents
Disclosures
| Regulatory Event | 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.
