MC
Matthew S. Cohen
PRINCIPAL FUNDS DISTRIBUTOR
DES MOINES, IA 50392
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CRD#: 3083254
MC
Professional summary
Matthew Stuart Cohen, CIMA®, who also goes by Matt Cohen, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Matt 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.
CRS (Client Relationship Summary) - BD
Click below to view Matthew Stuart 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®
Experience
Current
January 10, 2018 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
May 1, 2017 - September 25, 2017
MUZINICH CAPITAL LLC
BD
CRD#: 146017
NEW YORK, NY
Past
December 8, 2015 - March 29, 2017
MUZINICH CAPITAL LLC
BD
CRD#: 146017
NEW YORK, NY
Past
October 20, 2011 - October 1, 2015
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
BOSTON, MA
Past
January 19, 2010 - August 23, 2011
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
April 1, 2002 - December 31, 2009
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
WHITE PLAINS, NY
Past
August 6, 1998 - March 14, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/23/2018)
RR
Alaska(1/23/2018)
RR
Arizona(1/23/2018)
RR
Arkansas(1/23/2018)
RR
California(1/23/2018)
RR
Colorado(1/23/2018)
RR
Connecticut(1/10/2018)
RR
Delaware(1/23/2018)
RR
District of Columbia(1/23/2018)
RR
Florida(1/23/2018)
RR
Georgia(1/23/2018)
RR
Hawaii(1/23/2018)
RR
Idaho(1/23/2018)
RR
Illinois(1/23/2018)
RR
Indiana(1/23/2018)
RR
Iowa(1/23/2018)
RR
Kansas(1/23/2018)
RR
Kentucky(1/23/2018)
RR
Louisiana(1/23/2018)
RR
Maine(1/23/2018)
RR
Maryland(1/23/2018)
RR
Massachusetts(1/23/2018)
RR
Michigan(1/23/2018)
RR
Minnesota(1/23/2018)
RR
Mississippi(1/23/2018)
RR
Missouri(1/23/2018)
RR
Montana(1/23/2018)
RR
Nebraska(1/23/2018)
RR
Nevada(1/23/2018)
RR
New Hampshire(1/23/2018)
RR
New Jersey(1/23/2018)
RR
New Mexico(1/23/2018)
RR
New York(1/23/2018)
RR
North Carolina(1/23/2018)
RR
North Dakota(1/23/2018)
RR
Ohio(1/23/2018)
RR
Oklahoma(1/23/2018)
RR
Oregon(1/23/2018)
RR
Pennsylvania(1/23/2018)
RR
Rhode Island(1/23/2018)
RR
South Carolina(1/23/2018)
RR
South Dakota(1/23/2018)
RR
Tennessee(1/23/2018)
RR
Texas(1/23/2018)
RR
Utah(1/23/2018)
RR
Vermont(1/23/2018)
RR
Virginia(1/23/2018)
RR
Washington(1/23/2018)
RR
West Virginia(1/23/2018)
RR
Wisconsin(1/23/2018)
RR
Wyoming(1/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PRINCIPAL FUNDS DISTRIBUTOR, INC.
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(800) 222-5852
Established
Washington since 04/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
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.
Company Information
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261Des Moines, IA 50392TRUST BUT VERIFY
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