Alexandre D. Cohen

HEIGHTS LLC

Los Angeles, CA 90025

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CRD#: 4813412

Professional summary

Alexandre David Cohen, who also goes by Alexandre David Cohen, Alexandre Cohen, Alex Cohen, is a registered financial advisor currently at HEIGHTS LLC located in Los Angeles, California and HOLLISTER ASSOCIATES, LLC located in Los Angeles, California.

Alexandre is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Alexandre has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexandre David Cohen | Alexandre Cohen | Alex 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

October 20, 2021 - Present

HEIGHTS LLC

Office #1: 11111 Santa Monica Blvd Suite 2100, Los Angeles, CA 90025

RIA

CRD#: 315969

Los Angeles, CA

Current

August 25, 2024 - Present

HOLLISTER ASSOCIATES, LLC

Office #1: 11111 Santa Monica Boulevard, Los Angeles, CA 90025

CRD#: 173366

LOS ANGELES, CA

Past

July 18, 2021 - January 31, 2023

HOLLISTER ASSOCIATES, LLC

CRD#: 173366

MOUNT PLEASANT, SC

Past

March 4, 2010 - January 4, 2021

MSA SECURITIES, LLC

CRD#: 150557

SANTA MONICA, CA

Past

July 12, 2004 - July 12, 2007

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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".

HEIGHTS LLC

CRD#: 315969 / SEC#: 801-128704

RIA

Registered Investment Advisory firm - (9/11/2023 Approved)

California

Registered Investment Advisory firm - (4/29/2025 Terminated)

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).

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.

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

IAR

California
(10/20/2021)

California
(8/25/2024)

New York
(10/9/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/3/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 9/1/2009

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

HEIGHTS LLC

CRD#: 315969 / SEC#: 801-128704

RIA

Registered Investment Advisory firm - (9/11/2023 Approved)

California

Registered Investment Advisory firm - (4/29/2025 Terminated)

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Contact information

Main Address

11111 Santa Monica Blvd Suite 2100, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 640-7647

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 31 2025 (3/31/2025)

HEIGHTS LLC ADV 2A BROCHURE 3/32/2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 205,594,337

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.

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Advisor Monitoring

Firm Stability Insights

Alexandre D. Cohen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HOLLISTER ASSOCIATES, LLC

HOLLISTER ASSOCIATES, LLC

MSA SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

HEIGHTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2021

Series 63

Date: 8/3/2021

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2004

Series 28

Date: 9/1/2009

FINRA

Current Firm

HEIGHTS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEIGHTS LLC

TRUST BUT VERIFY

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