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Lee Michael Cohen

Raymond James & Associates, Inc.

San Rafael, CA

Novato, CA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-06
  • CA RA
    APPROVED
    Since 2023-09-06

Branch Locations

4000 Civic Center Drive Suite 500, San Rafael, CA 94903 • United States

Novato, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc San Rafael CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Rafael CA 11/2016 09/2023
Raymond James & Associates, Inc. San Rafael CA 09/2023 Present
Previous Registrations
  • 2011-01-03 → 2023-09-19
    Wells Fargo Clearing Services, Llc
    Corte Madera, CA
    San Rafael, CA
    Mill Valley, CA
    Novato, CA
    Corte Madera, CA
    Santa Rosa, CA
  • 2009-06-30 → 2011-01-03
    Wells Fargo Investments, Llc
    San Rafael, CA
  • 2009-05-02 → 2009-07-01
    Chase Investment Services Corp.
    Menlo Park, CA
  • 2007-07-12 → 2009-05-02
    Wamu Investments, Inc.
    Palo Alto, CA
    Portola Valley, CA
    San Mateo, CA
    Menlo Park, CA
    Carlsbad, CA
    San Mateo, CA
    Solana Beach, CA
    Carlsbad, CA
    Carlsbad, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-05-12
  • S63 Uniform Securities Agent State Law Examination
    2000-05-12
Other Names
  • Lee Cohen
  • Lee M. Cohen

View on SEC IAPD

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JEFFREY JAMES WELLS

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SAN RAFAEL, CA
HCM WEALTH · SAN RAFAEL, CA
O'DONNELL FINANCIAL SERVICES, LLC · SAN RAFAEL, CA
MADRONE INVESTMENT ADVISORY, LLC · SAN RAFAEL, CA
FIDUCIARY FINANCIAL GROUP, LLC · SAN RAFAEL, CA
MORGAN STANLEY · SAN RAFAEL, CA
INDEPENDENT FINANCIAL GROUP, LLC · San Rafael, CA
EDWARD JONES · San Rafael, CA

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