Dennis J. Trager
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.
Dennis Joseph Trager was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1996. Dennis had worked at 7 firms and has passed the Series 63, SIE, Series 25, Series 55, Series 7 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
October 21, 2010 - August 23, 2016
COWEN EXECUTION SERVICES LLC
August 16, 2007 - October 26, 2010
TERRA NOVA FINANCIAL, LLC
January 22, 2007 - March 15, 2007
ABN AMRO CLEARING USA LLC
March 23, 2006 - July 26, 2006
GREAT EASTERN SECURITIES, INC.
July 15, 2002 - May 28, 2004
CORRESPONDENT SERVICES CORPORATION
January 1, 2001 - July 8, 2002
BNY CLEARING SERVICES LLC
June 24, 1996 - January 1, 2001
SCHRODER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 3/10/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 11/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
COWEN EXECUTION SERVICES LLC
CRD#: 35693 / SEC#: 801-67167, 8-46838
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO | MEMBER | |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| EADS, MARK B | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP | 2942874 |
| HOLMES, JOHN | PRINCIPAL OPERATIONS OFFICER | 1281617 |
| KAPLAN, GARY MITCHELL | MUNICIPAL PRINCIPAL | |
| LUPKIN, IRA ADAM | PRINCIPAL FINANCIAL OFFICER | 4463446 |
| MESSINGER, LINDA LOUISE | CHIEF COMPLIANCE OFFICER | 2561401 |
Disclosures
| Regulatory Event | 29 |
Red Flags
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