Steven CohlmiaCRD Number: 1907495
Current Firm: Carey, Thomas, Hoover & Breault Advisors
Steven Cohlmia (CRD# 1907495) is an Investment Advisor Representative working at Carey, Thomas, Hoover & Breault Advisors in Wichita, KS and has over 22 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Ameriprise Financial Services, Inc.
|Carey, Thomas, Hoover, & Breault, Inc.||Wichita, KS||May 2001 - Current||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1995|
|S66||NASAA Uniform Combined State Law Examination||Jan 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management188MILLIONS
Total Number of Accounts1,090ACCOUNTS
Average Account Value$172,539
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Market timing services
AZ, CA, CO, FL, KS, LA, MO, NE, OK, TX