James M. Zurlo
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.
James Michael Zurlo was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2021 - August 23, 2023
COWEN AND COMPANY
January 20, 2011 - January 4, 2022
COWEN PRIME SERVICES LLC
May 18, 2009 - September 1, 2010
SARATOGA CAPITAL MARKETS
May 16, 2006 - May 18, 2009
GAR WOOD SECURITIES, LLC
May 11, 2005 - December 21, 2005
EXGEN SECURITIES LLC
February 5, 2004 - April 28, 2005
MULTITRADE SECURITIES LLC
November 1, 2002 - January 30, 2003
APB FINANCIAL GROUP, LLC
February 21, 2002 - November 18, 2002
UBS SECURITIES LLC
November 4, 1996 - October 22, 2002
UBS FINANCIAL SERVICES INC.
May 29, 1996 - November 7, 1996
MORGAN STANLEY & CO. LLC
October 27, 1992 - October 20, 1995
REPUBLIC NEW YORK SECURITIES CORPORATION
June 18, 1985 - March 18, 1992
LEHMAN BROTHERS INC.
May 3, 1982 - June 8, 1982
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COWEN AND COMPANY
CRD#: 7616 / SEC#: , 8-22522
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN HOLDINGS, INC. | DIRECT PARENT | |
| CHARNEY, DANIEL S. | CO-PRESIDENT | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| JENKINS, CHRISTINE J | PRINCIPAL FINANCIAL OFFICER AND FINOP | 4911933 |
| NIZICH, MATTHEW JOHN | REGISTERED OPTIONS PRINCIPAL | 2119564 |
| SOLOMON, JEFFREY MARC | CHIEF EXECUTIVE OFFICER | 2133254 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 8 |
Red Flags
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