MC
Mark L. Cohen
WESTSIDE INVESTMENT MANAGEMENT
SANTA MONICA, CA 90403
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CRD#: 1410342
MC
Professional summary
Mark Leonard Cohen is a registered financial advisor currently at WESTSIDE INVESTMENT MANAGEMENT, LLC located in Santa Monica, California and LPL FINANCIAL LLC located in Santa Monica, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 1/12/2015 - DBA for LPL Business (entity for LPL business) - Westside Investment Management, Inc. -Investment Related - Santa Monica, CA - Start Date:01/01/2015 - 160 Hrs/Mth - 160 Hrs During Trading. 2. 07/29/2022 - Westside Investment LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 04/01/2022 - 40 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through Westside Investment LLC, an independent investment advisor firm. I started this business activity in 07/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 12/12/2024 - Milldog Inc. - Business Owner - Los Angeles, CA - Not Investment Related - Start Date 11/14/2024 - 1 hour per month/ 0 hours during trading 4) 08/13/2025 - Alipony Racing - Not Investment Related - Other - Business Owner - Start Date:11/29/2011 - 3 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Leonard Cohen's CRS (Customer Relationship Summary).
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
Current
August 31, 2010 - Present
WESTSIDE INVESTMENT MANAGEMENT, LLC
Office #1: 2444 Wilshire Boulevard Suite 303, Santa Monica, CA 90403RIA
CRD#: 154522
SANTA MONICA, CA
Current
July 2, 2009 - Present
LPL FINANCIAL LLC
Office #1: 2444 Wilshire Blvd #303, Santa Monica, CA 90403RIA
BD
CRD#: 6413
Santa Monica, CA
Past
July 7, 2009 - May 6, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
June 1, 2009 - July 9, 2009
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
June 1, 2009 - July 9, 2009
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BEVERLY HILLS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BEVERLY HILLS, CA
Past
October 6, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BEVERLY HILLS, CA
Past
January 14, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BEVERLY HILLS, CA
Past
April 13, 1995 - January 20, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 22, 1992 - March 28, 1995
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
March 27, 1992 - July 9, 1992
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
September 24, 1990 - July 31, 1991
MMAR GROUP, INC.
BD
CRD#: 25329
HOUSTON, TX
Past
October 6, 1988 - December 5, 1990
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
November 4, 1985 - December 1, 1987
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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".
WI
WESTSIDE INVESTMENT MANAGEMENT, LLC
WESTSIDE INVESTMENT MANAGEMENT | WESTSIDE INVESTMENT MANAGEMENT, LLC | WESTSIDE INVESTMENT MANAGEMENT, INC.
CRD#: 154522 / SEC#: 801-71762
RIA
Registered Investment Advisory firm - (8/30/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/2/2009)
RR
California(7/7/2009)
IAR
California(8/31/2010)
RR
Colorado(7/2/2009)
RR
Florida(7/2/2009)
RR
Illinois(7/6/2009)
RR
Louisiana(8/26/2009)
RR
Nevada(7/13/2009)
RR
New Jersey(7/2/2009)
RR
New Mexico(11/25/2013)
RR
New York(7/2/2009)
RR
Ohio(4/21/2021)
RR
South Carolina(4/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WESTSIDE INVESTMENT MANAGEMENT, LLC
WESTSIDE INVESTMENT MANAGEMENT | WESTSIDE INVESTMENT MANAGEMENT, LLC | WESTSIDE INVESTMENT MANAGEMENT, INC.
CRD#: 154522 / SEC#: 801-71762
RIA
Registered Investment Advisory firm - (8/30/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2444 Wilshire Blvd Suite 303, Santa Monica, CA 90403
Mailing Address
Phone number
(310) 315-9400
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,339 |
| AUM (Assets Under Management) | $ 774,187,696 |
Red Flags
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Company Information
WESTSIDE INVESTMENT MANAGEMENT, LLC
CRD#: 154522Santa Monica, CA 90403TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
