DC
David B. Cohen
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CRD#: 4026557
DC
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.
David Bruce Cohen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) NAME OF OTHER BUSINESS: PIGGY AND BALLPARK INVESTMENTS, LP; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: FAMILY LP HOLDING RENTAL REAL ESTATE & OTHER EQUITY INVESTMENTS; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: OVERSEE REAL ESTATE RENTAL PROPERTIES AND OTHER PARTNERSHIP INVESTMENTS; 2) NAME OF OTHER BUSINESS: SUICIDE SQUEEZE, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: FAMILY LP HOLDING RENTAL REAL ESTATE & OTHER EQUITY INVESTMENTS; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: OVERSEE REAL ESTATE RENTAL PROPERTIES AND OTHER PARTNERSHIP INVESTMENTS; 3) NAME OF OTHER BUSINESS: PACIFIC WEST CAPITAL MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2017, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 30, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) GYL CPAs AND ADVISORS, LLP; PARTNER; CPA; START DATE 07/01/2017; 160 HOURS PER MONTH. 5) COHEN FAMILY TRUST; TRUSTEE; FIDICUARY POSITION; START DATE: 01/01/2000; 0 HOURS PER MONTH. 6) DAVE COHEN INSURANCE; OWNER/AGENT; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 07/01/2017; 40 HOURS PER MONTH. 7) JORDYN COHEN EDUCATION TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE: 10/24/2108; 4 HOURS PER MONTH. 8) ZACHARY COHEN EDUCATION TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE 10/24/2018; 4 HOURS PER MONTH. 9) SCRIPPS GIFT PLANNING COUNCIL; VOLUNTEER MEMBER; MARKETING PROFESSIONAL/BUSINESS NETWORKING; START DATE: 05/03/2019; 8 HOURS PER MONTH.
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®
NoneExperience
Past
September 8, 2022 - February 5, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
ONTARIO, CA
Past
November 12, 2020 - February 5, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CARLSBAD, CA
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
ONTARIO, CA
Past
March 10, 2010 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
ONTARIO, CA
Past
March 9, 2010 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ONTARIO, CA
Past
November 19, 2004 - March 10, 2010
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SAN DIEGO, CA
Past
November 19, 2004 - March 10, 2010
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SAN DIEGO, CA
Past
December 2, 2003 - November 23, 2004
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
SAN DIEGO, CA
Past
December 2, 2003 - November 23, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
June 30, 2000 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
RIA
CRD#: 24049
SAN DIEGO, CA
Past
December 20, 1999 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
