Edward Cohen

Some features on this profile are disabled

CRD#: 1295089

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.

Edward Cohen, CFP®, who also goes by Ed Cohen, was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1984. Edward had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ed 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.

1. NAME OF OTHER BUSINESS: TWIN PINES THRIFT STORE INVESTMENT RELATED: NO ADDRESS: 328 MAIN STREET, PORT WASHINGTON, NY 11050 NATUROF BUSINESS: BOARD FIDUCIARY POSITIONS POSITION/TITLE/RELATIONSHIP: TREASURER START DATE: 6/2022 APX NUMBER OF HOURS PER WEEK: 2 APNUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BALANCING THE CHECKBOOK, FILING REQUIRED FORMS, NOINVESTMENT AUTHORITY; 2. NAME OF OTHER BUSINESS: HERITAGE FINANCIAL PLANNING, INC. INVESTMENT RELATED: YES ADDRESS: SAME ASREGISTERED ADDRESS NATURE OF BUSINESS: DBA USED FOR MARKETING AND TAX PREP, INVESTMENT AND SECURITIES SERVICES START DATE: 1/198POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEFDESCRIPTION OF DUTIES: TAX PREPARATION AND RELATED SERVICES, ADVISE CLIENTS OF INVESTMENTS, ALL TO BE DONE THROUGH CETERA;

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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Past

June 29, 2023 - June 18, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MELVILLE, NY

Past

October 19, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MELVILLE, NY

Past

October 19, 2022 - June 18, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MELVILLE, NY

Past

April 1, 2021 - October 19, 2022

GROVE POINT ADVISORS, LLC

RIA

CRD#: 313171

Port Washington, NY

Past

May 14, 2020 - April 1, 2021

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

PORT WASHINGTON, NY

Past

June 2, 2008 - October 19, 2022

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

PORT WASHINGTON, NY

Past

June 13, 2005 - June 9, 2008

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

PORT WASHINGTON, NY

Past

September 16, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 16, 1994 - September 17, 2004

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

June 10, 1993 - December 20, 1994

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

March 6, 1991 - June 16, 1993

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

February 8, 1990 - January 3, 1991

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

December 12, 1989 - February 12, 1990

V P SECURITIES, INC.

CRD#: 16615

Past

March 2, 1989 - September 13, 1989

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

September 25, 1984 - March 10, 1989

INVESTORS CENTER, INC.

CRD#: 14670

HAUPPAGUE, 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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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 65

Date: 8/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/2/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/12/1993

Municipal Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GROVE POINT ADVISORS, LLC

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

ROBERT TODD FINANCIAL CORP.

ROBERT TODD FINANCIAL CORP.

V P SECURITIES, INC.

VANDERBILT SECURITIES, INC.

INVESTORS CENTER, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/1996

Series 63

Date: 10/9/1984

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1984

Series 24

Date: 8/2/1993

Series 53

Date: 5/12/1993

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors