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Michael D. Cohen

MDC FINANCIAL RESEARCH
El Dorado Hills, CA
Some features on this profile are disabled
CRD#: 4553922
MC

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

BD
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/20/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 5/9/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/4/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/27/2002
General Securities Representative Examination

Current Firm

MF
MDC FINANCIAL RESEARCH, LLC
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)
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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
2

Documents

Latest Form ADV

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

MDC FINANCIAL RESEARCH, LLC

CRD#: 149221El Dorado Hills, CA

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