Joseph E. Cogan
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.
Joseph Elgart Cogan was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2003. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
July 9, 2013 - December 26, 2014
HEROLD & LANTERN INVESTMENTS, INC.
June 1, 2011 - July 6, 2012
TOPEKA CAPITAL MARKETS INC.
January 4, 2010 - December 10, 2010
LOUIS CAPITAL MARKETS, LLC
August 10, 2007 - October 8, 2009
CANACCORD GENUITY SECURITIES LLC
August 24, 2005 - August 10, 2007
COLLINS STEWART INC.
November 17, 2003 - May 18, 2005
THE BENCHMARK COMPANY, LLC
February 20, 2003 - November 20, 2003
J.P. MORGAN 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
Series 55
Date: 9/13/2011
Limited Representative-Equity Trader ExamCurrent Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
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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