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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: L.M. KOHN & COMPANYCRD Number: 27913OtherThanAnnual Amendment All SectionsRev.

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What is brokercheck report - lm?

The BrokerCheck report is a tool provided by FINRA that allows investors to research the professional backgrounds of brokers and brokerage firms. It provides information about the individual's employment history, regulatory actions, and any customer complaints.

Who is required to file brokercheck report - lm?

Registered brokers and brokerage firms are required to file a BrokerCheck report to ensure transparency and provide potential and current clients with access to their professional history and credentials.

How to fill out brokercheck report - lm?

To fill out a BrokerCheck report, brokers must provide their personal information, including name, employment history, and any disciplinary actions. This information is typically submitted through the FINRA's online system or via their compliance department.

What is the purpose of brokercheck report - lm?

The purpose of the BrokerCheck report is to give consumers access to important information about their brokers and firms, helping them make informed decisions about their investments and understand the background and professionalism of financial service providers.

What information must be reported on brokercheck report - lm?

The information that must be reported includes the broker's employment history, qualifications, licenses, any disciplinary actions taken against them, customer complaints, and any financial disclosures such as bankruptcy.

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