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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

SCOTT ROBERT COHEN

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:de230b77-244c-0888-759f-35e55a0e5e73

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 20, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 15, 2009
First registration: Jul 20, 2010
Dual registered: yes, broker-dealer
Other names: SCOTT ROBERT COHEN|SCOTT COHEN
IAPD individual key: 5553425

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Sep 11, 2013	n/a	yes	LOS ANGELES, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jul 23, 2013	no	SANTA MONICA, CA\|SANTA MONICA,, CA\|SANTA MONICA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 26, 2011	Oct 1, 2012	no	SANTA MONICA, CA\|PACIFIC PALISADES, CA\|LOS ANGELES, CA\|SANTA MONICA, CA\|SANTA MONICA, CA	Previous registration
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT	Independent wealth	Jul 20, 2010	Sep 16, 2011	no	SANTA MONICA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jul 23, 2013	Sep 11, 2013	50	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT	CHASE INVESTMENT SERVICES CORP.	Sep 16, 2011	Oct 26, 2011	40	Firm change	Other

Relationships

Registered with (4)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Sep 11, 2013 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jul 23, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 26, 2011 to Oct 1, 2012factForm ADV
→ GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jul 20, 2010 to Sep 16, 2011factForm ADV

Dated events

No dated event names this entity yet.