William F. Herbert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Fairfax Herbert was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 63, Series 87, Series 7, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2012 - March 25, 2013
COWEN SECURITIES LLC
July 1, 1998 - January 13, 2012
COWEN AND COMPANY
September 2, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 14, 1987 - July 29, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 11, 1985 - February 28, 1987
SOUNDVIEW TECHNOLOGY CORPORATION
May 23, 1984 - December 10, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
June 29, 1983 - July 24, 1984
HAMBRECHT & QUIST LLC
March 1, 1982 - December 21, 1983
UBS ASSET MANAGEMENT (US) INC.
State Registrations and Notice Filings
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Exams
Current Firm
COWEN SECURITIES LLC
CRD#: 23510 / SEC#: , 8-40487
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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