Ronald I. Cohen

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CRD#: 1173802

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.

Ronald Irwin Cohen, who also goes by Ron Cohen, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ron Cohen

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

January 4, 2008 - October 7, 2013

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

RIA

CRD#: 144601

HOOD RIVER, OR

Past

January 3, 2008 - October 7, 2013

PORTFOLIO RESOURCES GROUP, INC.

CRD#: 31155

HOOD RIVER, OR

Past

January 20, 2006 - December 31, 2007

FINANCIAL WEST GROUP

RIA

CRD#: 16668

HOOD RIVER, OR

Past

January 17, 2006 - December 31, 2007

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

January 14, 2002 - December 31, 2004

FIRST AFFIRMATIVE FINANCIAL NETWORK LLC

RIA

CRD#: 109036

HOOD RIVER, OR

Past

October 1, 1998 - December 31, 2005

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

COLORADO SPRINGS, CO

Past

January 2, 1990 - December 31, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 27, 1989 - January 2, 1990

FIRST AFFIRMATIVE FINANCIAL NETWORK, INC.

CRD#: 18339

Past

September 30, 1987 - September 6, 1989

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

August 23, 1983 - October 7, 1987

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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".

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

CRD#: 144601 / SEC#: 801-111808

RIA

Registered Investment Advisory firm - (10/6/2017 Approved)

Arizona

Registered Investment Advisory firm - (10/6/2017 Terminated)

California

Registered Investment Advisory firm - (11/5/2017 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2017 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2017 Terminated)

Kentucky

Registered Investment Advisory firm - (10/12/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (1/2/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/20/2017 Terminated)

New York

Registered Investment Advisory firm - (10/6/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (10/6/2017 Terminated)

Oregon

Registered Investment Advisory firm - (11/7/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/10/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2012 Terminated)

Virginia

Registered Investment Advisory firm - (10/6/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/16/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/12/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

CRD#: 144601 / SEC#: 801-111808

RIA

Registered Investment Advisory firm - (10/6/2017 Approved)

Arizona

Registered Investment Advisory firm - (10/6/2017 Terminated)

California

Registered Investment Advisory firm - (11/5/2017 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2017 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2017 Terminated)

Kentucky

Registered Investment Advisory firm - (10/12/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (1/2/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/20/2017 Terminated)

New York

Registered Investment Advisory firm - (10/6/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (10/6/2017 Terminated)

Oregon

Registered Investment Advisory firm - (11/7/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/10/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2012 Terminated)

Virginia

Registered Investment Advisory firm - (10/6/2017 Terminated)

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Contact information

Main Address

4000 Ponce De Leon Blvd Ste 670, Coral Gables, FL 33146

Mailing Address

Phone number

(305) 372-0299

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A WRAP FEE BROCHURE (11/15/2024)

PART 2A BROCHURE (11/15/2024)

Regulatory assets under management

Total Number of Accounts	362
AUM (Assets Under Management)	$ 115,963,278

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.

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Advisor Monitoring

Firm Stability Insights

Ronald I. Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PORTFOLIO RESOURCES GROUP, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

FIRST AFFIRMATIVE FINANCIAL NETWORK LLC

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

FIRST AFFIRMATIVE FINANCIAL NETWORK, INC.

AVANTAX INVESTMENT SERVICES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2008

Series 63

Date: 12/12/1988

Series 7

Date: 8/20/1983

Current Firm

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

TRUST BUT VERIFY

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