Donald D. Cohee
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.
Donald Dean Cohee, who also goes by Don Cohee, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2024 - August 28, 2026
LPL FINANCIAL LLC
July 21, 1999 - April 17, 2024
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - July 22, 1999
MUTUAL SERVICE CORPORATION
December 12, 1986 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
October 10, 1986 - December 22, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
March 5, 1984 - October 17, 1986
FSC SECURITIES CORPORATION
October 15, 1981 - February 27, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
April 20, 1981 - September 15, 1981
WADDELL & REED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
What does exam status mean?
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER | 4194266 |
| GATES, GREGORY | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER | 7069201 |
| JAMBUSARIA, ANERI | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,850,994 |
| AUM (Assets Under Management) | $ 819,117,829,825 |
Disclosures
| Regulatory Event | 236 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
