EC
Evan S. Cohen
CETERA INVESTMENT ADVISERS LLC
CORAL SPRINGS, FL 33076
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CRD#: 4016947
EC
Professional summary
Evan Scott Cohen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Coral Springs, Florida and CETERA ADVISORS LLC located in Coral Springs, Florida.
Evan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Evan has worked at 5 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 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. CS FINANCIAL SERVICES, INC; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; INSURANCE AND INVESTMENT SERVICES; START 5/2015; OWNER/PRESIDENT;
2. NAME OF OTHER BUSINESS: ESC FAMILY INVESTMENTS, LLC;
INVESTMENT RELATED: NO;
ADDRESS: 5850 CORAL RIDGE DR. SUITE 208, CORAL SPRINGS, FL 33076;
NATURE OF BUSINESS: OFFICE SPACE OWNERSHIP;
START DATE: 07/2012;
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT;
APX NUMBER OF HOURS PER WEEK: NONE;
APX NUMBER OF HOURS DURING TRADING HOURS: NONE;
BRIEF DESCRIPTION OF DUTIES: FILE ANNUAL TAX RETURN AND COLLECT QUARTERLY RENT;
CRS (Client Relationship Summary) - RIA
Click below to view Evan Scott 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
February 1, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5850 Coral Ridge Dr Ste 208, Coral Springs, FL 33076RIA
CRD#: 105644
CORAL SPRINGS, FL
Current
July 18, 2007 - Present
CETERA ADVISORS LLC
Office #1: 5850 Coral Ridge Dr Ste 208, Coral Springs, FL 33076BD
CRD#: 10299
Coral Springs, FL
Past
July 31, 2007 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 19, 2005 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
BOCA RATON, FL
Past
April 22, 2003 - December 31, 2003
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
BOCA RATON, FL
Past
July 31, 2001 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
BOCA RATON, FL
Past
January 29, 2000 - November 10, 2000
TRADESTATION SECURITIES, INC.
BD
CRD#: 39473
PLANTATION, FL
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
Arizona(10/24/2018)
RR
California(4/6/2023)
RR
Colorado(7/18/2007)
RR
Connecticut(7/18/2007)
RR
District of Columbia(8/25/2022)
RR
Florida(7/18/2007)
IAR
Florida(2/1/2024)
RR
Georgia(1/27/2011)
RR
Illinois(1/13/2023)
RR
Maryland(7/18/2007)
RR
Massachusetts(7/18/2007)
RR
Michigan(1/2/2024)
RR
Nevada(8/17/2021)
RR
New Jersey(7/18/2007)
RR
New York(7/18/2007)
RR
North Carolina(4/14/2022)
RR
Pennsylvania(7/18/2007)
RR
South Carolina(1/31/2013)
RR
Tennessee(5/10/2017)
RR
Texas(8/29/2014)
IAR
Texas(3/21/2024)
RR
Vermont(3/25/2025)
RR
Virginia(7/18/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamGeneral 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Coral Springs, FL 33076TRUST BUT VERIFY
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