Michael D. Cohen

MDC FINANCIAL RESEARCH

El Dorado Hills, CA

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CRD#: 4553922

Professional summary

Michael David Cohen is a registered financial advisor currently at MDC FINANCIAL RESEARCH, LLC located in El Dorado Hills, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 2 firms and has passed the Series 65, Series 63, Series 86, Series 87 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David 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®

None

Experience

Current

January 26, 2009 - Present

MDC FINANCIAL RESEARCH, LLC

RIA

CRD#: 149221

El Dorado Hills, CA

Past

August 28, 2002 - November 26, 2008

PACIFIC AMERICAN SECURITIES, LLC

CRD#: 42999

SAN DIEGO, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(1/26/2009)

IAR

Illinois
(6/21/2018)

IAR

New York
(11/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 86

Date: 5/9/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 3/4/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/27/2002

General Securities Representative Examination

Current Firm

MDC FINANCIAL RESEARCH, LLC

CRD#: 149221 / SEC#: 801-69886

RIA

Registered Investment Advisory firm - (1/11/2010 Terminated)

California

Registered Investment Advisory firm - (12/24/2009 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2018 Approved)

New York

Registered Investment Advisory firm - (4/26/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

El Dorado Hills, CA

Mailing Address

Phone number

(510) 894-4476

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael D. Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Cohen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MDC FINANCIAL RESEARCH, LLC

PACIFIC AMERICAN SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2009

Series 63

Date: 9/24/2002

Series 86

Date: 5/9/2005

Series 87

Date: 3/4/2005

Series 7

Date: 8/27/2002

Current Firm

MDC FINANCIAL RESEARCH, LLC

Contact information

Documents

Red Flags

Company Information

MDC FINANCIAL RESEARCH, LLC

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