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JULIE LAN COHEN
JULIE LAW
CRD#: 1424275
IA
Investment Adviser
B
Broker
MUTUAL ADVISORS, LLCCRD#: 167658 Northridge, CA
MUTUAL SECURITIES, INC.CRD#: 13092 807-A CAMARILLO SPRINGS ROAD
CAMARILLO, CA 93012
Registration History
199019952000200520102015202020252 FIRMS2003 - 2007 (4 years)2 FIRMS2007 - 2008 (<1 year)IAMUTUAL ADVISORS, LLC (CRD# 167658)2013 - Present (11 years)BMUTUAL SECURITIES, INC. (CRD# 13092)2008 - Present (17 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)1999 - 2003 (4 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)1999 - 1999 (<1 year)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1998 - 1999 (<1 year)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1996 - 1998 (2 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1994 - 1996 (1 year)BGATEWAY INVESTMENT SERVICES, INC. (CRD# 31153)1993 - 1994 (<1 year)BPROTECTIVE EQUITY SERVICES, INC. (CRD# 15708)1992 - 1993 (1 year)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1991 - 1992 (<1 year)BPAMCO SECURITIES AND INSURANCE... (CRD# 11028)1989 - 1991 (2 years)IAMUTUAL SECURITIES, INC. (CRD# 13092)2008 - 2013 (5 years)
Disclosure(s)
View By:
12/15/2020
Customer Dispute
Settled
8/1/2019
Customer Dispute
Settled
2/14/2019
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
California 1/7/2008

IA
California 7/1/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MUTUAL ADVISORS, LLC (CRD#:167658)
Northridge, CA
Registered with this firm since 7/1/2013

B
MUTUAL SECURITIES, INC. (CRD#:13092)
807-A CAMARILLO SPRINGS ROAD, CAMARILLO, CA 93012
Northridge, CA
Registered with this firm since 1/7/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/07/2008 - 07/09/2013 MUTUAL SECURITIES, INC. (CRD#:13092) CAMARILLO, CA
IA
05/29/2007 - 01/23/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
B
05/29/2007 - 01/23/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
IA
05/14/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) GLENDALE, CA
B
05/14/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) GLENDALE, CA
B
02/26/1999 - 05/05/2003 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) LOS ANGELES, CA
B
01/01/1999 - 02/22/1999 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
03/04/1998 - 01/01/1999 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
B
03/27/1996 - 03/09/1998 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
B
10/12/1994 - 03/12/1996 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
12/03/1993 - 09/20/1994 GATEWAY INVESTMENT SERVICES, INC. (CRD#:31153) OAK PARK, IL
B
07/28/1992 - 12/31/1993 PROTECTIVE EQUITY SERVICES, INC. (CRD#:15708) BIRMINGHAM, AL
B
08/01/1991 - 05/12/1992 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
07/05/1989 - 08/01/1991 PAMCO SECURITIES AND INSURANCE SERVICES (CRD#:11028)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.