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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

LEE MICHAEL COHEN

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

SAN RAFAEL, CA | Novato, CA

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Search this name across graphsid dfx:ria:ca147da5-9311-9bb5-d53e-cd3d37be907c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 12, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 12, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: May 12, 2000
First registration: Jul 12, 2007
Dual registered: yes, broker-dealer
Other names: LEE COHEN|LEE M. COHEN
IAPD individual key: 2774178

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Sep 6, 2023	n/a	yes	SAN RAFAEL, CA\|Novato, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Sep 19, 2023	no	CORTE MADERA, CA\|SAN RAFAEL, CA\|MILL VALLEY, CA\|NOVATO, CA\|CORTE MADERA, CA\|SANTA ROSA, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jun 30, 2009	Jan 3, 2011	no	SAN RAFAEL, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Jul 1, 2009	no	MENLO PARK, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jul 12, 2007	May 2, 2009	no	PALO ALTO, CA\|PORTOLA VALLEY, CA\|SAN MATEO, CA\|MENLO PARK, CA\|CARLSBAD, CA\|SAN MATEO, CA\|SOLANA BEACH, CA\|CARLSBAD, CA\|CARLSBAD, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	RAYMOND JAMES & ASSOCIATES, INC.	Sep 19, 2023	Sep 6, 2023	-13	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO INVESTMENTS, LLC	Jul 1, 2009	Jun 30, 2009	-1	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Sep 6, 2023 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Sep 19, 2023factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jun 30, 2009 to Jan 3, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Jul 1, 2009factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 12, 2007 to May 2, 2009factForm ADV

Dated events

Occurred
Sep 19, 2023
Advisor changed firm
Lee Michael Cohen left Wells Fargo Advisors for Raymond James & Associates, Inc. (registered 2023-09-06)
Form ADVobserved 3 days ago