RC
Ross Cohen
CETERA INVESTMENT ADVISERS LLC
MELVILLE, NY 11747
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CRD#: 2504249
RC
Professional summary
Ross Cohen, who also goes by Ross Michael Cohen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Melville, New York and CETERA WEALTH SERVICES, LLC located in Melville, New York.
Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ross has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ross Michael 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) HD INSURANCE SERVICES POSITION: Employee NATURE: This is where the revenue from the outside insurance activities of fixed insurance sales and renewals get deposited. There are business expenses paid out of this bank account as well. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/01/2020 ADDRESS: One Huntington Quadrangle, Suite 2s14, Melville NY 11747, United States DESCRIPTION: Service existing clients of the firm and prospect new clients. Investment advise and financial planning. Shopping for various insurance coverages and assisting client with application. 2) OUTSIDE INSURANCE SALES POSITION: Licensed Agent NATURE: selling life insurance, long term care and disability outside Avantax INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/01/2025 ADDRESS: One Huntington Quadrangle, Suite 2s14, Melville NY 11747, United States DESCRIPTION: Shopping for various coverage. Assisting clients with application and underwriting process. The way each policy works and ensuring suitability. 3) HOCHHEISER DEUTSCH & CO. POSITION: Director of Retirement Plans/Investment Specialist NATURE: Receive W2 income and bonuses Provide financial planning and investment services to individuals. Focus on qualified retirement plans for small businesses. Provide asset allocation recommendations. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 07/01/2017 ADDRESS: One Huntington Quadrangle, Suite 2s14, Melville NY 11747, United States DESCRIPTION: Service existing clients and prepare financial plan and investment services for company; 4) NAME OF OTHER BUSINESS: RMC WEALTH SERVICES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: RUN THE FEES GENERATED THROUGH ADVISORY ONLY TO THIS ENTITY.
CRS (Client Relationship Summary) - RIA
Click below to view Ross 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1 Huntington Quadrangle Suite 2 C13, Melville, NY 11747RIA
CRD#: 105644
MELVILLE, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: One Huntington Quadrangle Suite 2s14, Melville, NY 11747BD
CRD#: 13572
Melville, NY
Past
May 9, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MELVILLE, NY
Past
May 9, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Melville, NY
Past
August 15, 2017 - May 9, 2025
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW YORK, NY
Past
July 19, 2017 - May 9, 2025
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
October 18, 2010 - April 21, 2016
MORGAN STANLEY
RIA
CRD#: 149777
MELVILLE, NY
Past
September 2, 2009 - April 21, 2016
MORGAN STANLEY
BD
CRD#: 149777
MELVILLE, NY
Past
April 18, 2001 - August 25, 2005
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
September 8, 1997 - June 9, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
July 25, 1994 - November 3, 1997
SOCGEN-CROSBY SECURITIES INC.
BD
CRD#: 30442
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.
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
California(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Indiana(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(10/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
