AC
Arnold I. Cohen
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CRD#: 1046941
AC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arnold Ira Cohen was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1982. Arnold had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
3) Playlist Fitness Holdings, LLP 8% -Playlist Fitness is a private entity Yoga Studio in Los Angeles Ca. It was opened by our son. We made a $30,000 investment in this entity in my wife's name. This represented 10.97% of the beginning capital. My wife and myself have no involvement in this business either financial or managerial. I have no clients invested into this business. I know that Morgan Stanley has no involvement either in this business. There are no plans for this to become a public entity. The mailing address is 1900 Avenue of the Stars Ste 625, Los Angeles, Ca 90067. - Continuity Logic Corp .5% -Continuity logic is a privately held software solutions company. My father in law, who is deceased, made an investment about 35 years ago into this company in my wife's name. I think it would be overly generous for me to value this investment's current value at $15,000. And that is just a number I made up since the only hope of any recovery would be a sale of the company. We have written it off in our minds long ago. We do not even receive a formal K1 anymore just a one line entry showing her with negative capital and an allocated small loss. We have never had any involvement in this entity and I wouldn't know if they do any business with Morgan Stanley. I believe they are located in the Fairfield NJ area. Bo inc .5% -This was a private entity that we invested about $25, 000 in about 10 years ago. The company had created a music related app that was to be incorporated into all the phones that Radio Shack was to sell. However, this never materialized and Radio Shack went into bankruptcy so that seemed to be the end of the company. To my knowledge this company doesn't even exist anymore. I do not receive any K1's. I was never involved in this company in any way. I do not even have a mailing address or contact for the company. I list it only because I have never used the tax loss. I have no clients invested in this entity. Triangle Fidelity Real Estate 1% -This is a private entity that owns industrial real estate in NJ. Probably 35 years ago I invested a $25,000 check into this entity as a limited partner in my name. My K1 shows a .5714% share of capital. T have never had an involvement in this entity in any way other than an investor. I have no clients involved in this. There aren't plans for this to become a public entity. I do not advise them on any financial matters. I am not aware of Morgan Stanley being involved in this entity. Triangle Fidelity, has a mailing address of 225 Millburn Avenue, Suite 202, Millburn NJ 07041. * 483449 - Trust; Investment related Yes; Boca Raton, Florida; Trust; Trustee/Co Trustee;03/2022; During business hours: 1; After business hours: 3; Investment Decisions/Advice, Check Signing/Funds Disbursements
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 12, 2020 - October 14, 2025
MORGAN STANLEY
RIA
CRD#: 149777
West Palm Beach, FL
Past
June 12, 2020 - October 14, 2025
MORGAN STANLEY
BD
CRD#: 149777
West Palm Beach, FL
Past
June 24, 2016 - July 6, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEST PALM BEACH, FL
Past
April 14, 2016 - July 6, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEST PALM BEACH, FL
Past
January 8, 2004 - April 18, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
BOCA RATON, FL
Past
January 7, 2004 - April 18, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
BOCA RATON, FL
Past
May 12, 2003 - January 7, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
MILLBURN, NJ
Past
December 10, 1999 - January 7, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
June 5, 1997 - August 18, 2000
ATLANTIC GROUP SECURITIES, INC.
BD
CRD#: 42194
MILLBURN, NJ
Past
May 14, 1982 - August 29, 1997
RICKEL & ASSOCIATES, INC.
BD
CRD#: 7839
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(914) 225-1000
Established
Delaware since 02/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
29,200
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
