Colin Kestner Cohen

Current Employers

Employment History

• 01/2013 → Present
  Sigma Financial Corporation
  Ann Arbor, MI
• 01/2013 → Present
  Spc
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  Waco, TX

Previous Registrations

• 2013-01-18 → 2023-05-15
  Spc
  Round Rock, TX
  Ann Arbor, MI
  Austin, TX
  Round Rock, TX
  Round Rock, TX
  Waco, TX
• 2009-10-05 → 2013-01-22
  Ameriprise Financial Services, Llc
  Austin, TX
  Austin, TX
• 2008-09-16 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Austin, TX
• 2008-01-01 → 2008-09-30
  Wells Fargo Clearing Services, Llc
  Austin, TX
• 2002-07-17 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Waco, TX
  Waco, TX
  Austin, TX
  St. Louis, MO

Other Businesses

1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/23/2023 - Vanguard College Preparatory School - Not Investment Related - 2517 Mt. Carmel Drive, Waco, TX 76710 - W-2 Employment - Coach - Start Date 1/26/2023 - 30 Hours Per Month - Time Spent 15% 3. 06/23/2023 - Galt Investments, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Owner - Start Date 10/15/2023

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-29
• S63 Uniform Securities Agent State Law Examination
  1997-12-24