Mark Cohen has been an investment adviser representative at Westside Investment Management since August 2010, and is not listed among the firm’s executive officers or direct owners. Mark Cohen holds a Bachelor's degree in Business Economics from the University of California, Santa Barbara and an Accounting degree from the University of California, Los Angeles.
Westside Investment Management, LLC is a Santa Monica, CA firm with $889M under management, 890 clients and 7 advisers across 3 offices, as of its February 2026 filing.
Mark Cohen is a Partner at Westside Investment Management. He has been a financial advisor since 1986 and has worked at several major Wall Street firms including Morgan Stanley and Smith Barney before aligning with LPL Financial. His experience includes managing large investment portfolios.
Mark Cohen’s longest registration is the current one, 17 years at LPL Financial LLC since 2009. Before joining Westside Investment Management in 2010, Mark Cohen was registered through Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. Incorporated.
- – present · 16 yearsSanta Monica, CA · Adviser representative · Firm CRD 154522
- LPL Financial LLCAlso current– present · 17 yearsFort Mill, SC · Adviser representative and broker · Firm CRD 6413
- Morgan Stanley Smith Barney LLC– · under a yearBeverly Hills, CA · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsBeverly Hills, CA · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 3 yearsBeverly Hills, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Mark Cohen is registered as an investment adviser representative in California, since August 2010.
- CaliforniaSince 31 August 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 May 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 October 1990 |
| Series 7 | General Securities Representative Examination | 21 September 1990 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 November 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Mark Leonard Cohen
- CRD
- 1410342
- Firm
- Westside Investment Management · CRD 154522
- Office
- 2444 WILSHIRE BOULEVARD, SUITE 303, Santa Monica, CA 90403
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1987
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- westsideim.com
Where does Mark Cohen work?
Mark Cohen is an investment adviser representative registered through Westside Investment Management, LLC since August 2010, and is not listed among the firm’s executive officers or direct owners.
Is Mark Cohen a financial advisor?
Yes. Mark Cohen has a current investment-adviser registration in California, through Westside Investment Management since August 2010.
How many years of experience does Mark Cohen have?
Mark Cohen has 39 years in the financial industry, since June 1987, across 5 adviser firms.
What exams has Mark Cohen passed?
Mark Cohen has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 65. The earliest, the Series 6, was passed in November 1985. FINRA credited Mark Cohen with the SIE, which began in October 2018.
Where did Mark Cohen work before Westside Investment Management?
Before Westside Investment Management, Mark Cohen was registered through Morgan Stanley Smith Barney LLC, June 2009 to July 2009; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, October 2003 to April 2007.
Where is Mark Cohen based?
Mark Cohen’s registered office is in Santa Monica, CA.
Is Mark Cohen registered with FINRA?
Yes. Mark Cohen has a current broker registration, under CRD 1410342.
Source: FINRA BrokerCheck
How can I verify Mark Cohen’s record?
Search CRD 1410342 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Cohen’s full registration record.
