Joseph R. Crisalli
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.
Joseph Richard Crisalli was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, 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
May 31, 2017 - October 4, 2023
COWEN AND COMPANY
August 5, 2013 - December 31, 2017
COWEN EXECUTION SERVICES LLC
March 21, 2011 - March 25, 2013
COWEN SECURITIES LLC
December 3, 2010 - February 1, 2011
TD ARRANGED SERVICES LLC
July 2, 2002 - December 9, 2010
LABRANCHE FINANCIAL SERVICES, LLC
July 28, 1998 - June 10, 2002
KNIGHT CAPITAL AMERICAS, L.P.
May 7, 1998 - July 14, 1998
HAPOALIM SECURITIES USA, INC.
May 26, 1995 - February 20, 1998
APEX CLEARING CORPORATION
February 24, 1995 - October 18, 1996
TIJA MANAGEMENT, INC.
September 27, 1994 - March 21, 1995
ADLER COLEMAN & CO., INC.
April 19, 1988 - September 20, 1988
R.C. STAMM & 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/15/1998
Limited Representative-Equity Trader ExamCurrent 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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