Lee Michael Cohen

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  San Rafael, CA
• 11/2016 → 09/2023
  Wells Fargo Clearing Services, Llc
  San Rafael, CA
• 09/2023 → Present
  Raymond James & Associates, Inc.
  San Rafael, CA

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

• S63 Uniform Securities Agent State Law Examination
  2000-05-12

Other Names

• Lee Cohen
• Lee M. Cohen