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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chad? Claim Your ProfileChad David Cohen is a financial advisor who has been in the industry since 2001. Chad Cohen is currently registered with UBS Financial Services Inc., and has been registered with the firm since 2011. Chad Cohen was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2005 to 2011 and Morgan Stanley DW Inc from 2001 to 2005. Chad Cohen has a Series 66 license, which allows them to provide investment advice. Chad Cohen also has a Series 7, Series 31 and SIE license. They are registered with the state of California and Texas as an investment advisor. They also provide financial planning services, pension consulting, and educational seminars. Chad Cohen has been a registered representative with UBS Financial Services Inc. for over a decade and has helped clients in Beverly Hills and the surrounding area achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
05/11/2015 - Present
UBS Financial Services Inc. (BEVERLY HILLS CA)
CA
08/16/2005 - 11/21/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEVERLY HILLS CA)
NY
08/17/2001 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 10/18/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/17/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 8/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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