Cohen L. Rautenkranz
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.
Cohen Lee Rautenkranz was a registered financial professional .
Cohen is a previously registered financial professional and started their career in finance in 2004. Cohen had worked at 5 firms and has passed the Series 66 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
April 21, 2011 - November 7, 2012
FINTEGRA, LLC
April 21, 2011 - November 7, 2012
FINTEGRA, LLC
November 2, 2009 - April 19, 2011
CROWN CAPITAL SECURITIES, L.P.
January 3, 2007 - November 2, 2009
FINTEGRA, LLC
January 3, 2007 - November 2, 2009
FINTEGRA, LLC
August 3, 2006 - December 31, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 4, 2006 - December 31, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 16, 2005 - April 24, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 24, 2004 - August 22, 2005
WELLS FARGO INVESTMENTS, LLC
July 27, 2004 - August 22, 2005
WELLS FARGO INVESTMENTS, 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
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| 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.
