David Cohen

Current Employers

Sterling Financial Management, Inc.

Somerset, NJ • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2003-01-10

NJ RA
APPROVED

Since 2003-01-10

Branch Locations

65 Madison Ave., Suite 333, Morristown, NJ 07960 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Sagepoint Financial, Inc	Somerset	NJ	01/2009	Present
Osaic Wealth, Inc.	Somerset	NJ	09/2023	Present

01/2009 → Present

Sagepoint Financial, Inc

Somerset, NJ
09/2023 → Present

Osaic Wealth, Inc.

Somerset, NJ

Other Businesses

1. STERLING FINANCIAL MANAGEMENT INC, INVESTMENT RELATED, 3 NICOLE DRIVE SOMERSET NJ 08873, OWNER, 06/1994, 10 HRS/MO, 1 HR DT, IMPLEMENTATION OF INSURANCE WHERE APPROPRIATE AS PART OF FINANCIAL PLANNING FOR CLIENT. 2. STERLING FINANCIAL MANAGEMENT INC, INVESTMENT RELATED, 3 NICOLE DRIVE SOMERSET NJ 08873, PRESIDENT, 06/1994, 40 HRS/MO, 20 HRS DT, RESPONSIBLE FOR VIRTUALLY ALL DUTIES AND RESPONSIBILITIES FOR MY RIA. 3. STERLING REM LLC, INVESTMENT RELATED, 3 NICOLE DRIVE SOMERSET NJ 08873, DIRECTOR, 09/2006, 3 HRS/MO, 1 HR DT, STERLING REM LLC IS A REAL ESTATE RENTAL COMPANY TO SUBLET UNUSED OFFICE SPACE WITHIN SUITE, BUT THIS ACTIVITY IS CURRENTLY DORMANT WITH NO LEASED SPACE, BUT ENTITY AND BANK ACCOUNT REMAINS OPEN AND STATIC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-08-10
S63	Uniform Securities Agent State Law Examination	1994-05-16

S65 Uniform Investment Adviser Law Examination

1998-08-10
S63 Uniform Securities Agent State Law Examination

1994-05-16

Designations

View on SEC IAPD