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Marc Cohen

Stifel, Nicolaus & Company, Incorporated
54 Years of Experience
Westlake Village, CA
2 DisclosuresBroker
View SEC Summary
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Marc Cohen is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Westlake Village, CA, with 54 years of industry experience. Marc is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3075 Townsgate Road, Suite 300, Westlake Village, CA, 91361

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2007
Denied
Customer Dispute
April 1999
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Marc is an MC for Distinguished Speakers Series, giving lectures a few hours per month since 2000. He is also the president and radio host for FSFMC since 2010, dedicating minimal time to it.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
June 2023 - Present · 3 yrs 4 mos
Stifel, Nicolaus & Company, Incorporated
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
Morgan Stanley
June 2015 - July 2023 · 8 yrs 1 mo
Morgan StanleyBroker
June 2015 - July 2023 · 8 yrs 1 mo
Wells Fargo Advisors, LLC
June 2003 - June 2015 · 12 yrs
Wells Fargo Advisors, LLCBroker
June 2003 - June 2015 · 12 yrs
Merrill Lynch Pierce Fenner & Smith INC.
May 1986 - June 2003 · 17 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - June 2003 · 24 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
October 1974 - September 1978 · 3 yrs 11 mos
Hayden Stone INC.Broker
July 1972 - December 1974 · 2 yrs 5 mos
State Registrations22 states
ALAZCAFLGAHIINMIMNMOMTNCNJNMNVNYOHOKORTNTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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