Francis J. Reid
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.
Francis Joseph Reid, who also goes by Francis Joseph Reid Jr, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1984. Francis had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2007 - February 8, 2011
COWEN EXECUTION SERVICES LLC
January 5, 2007 - May 30, 2024
WESTMINSTER RESEARCH ASSOCIATES LLC
August 1, 2003 - December 18, 2006
BLOOMBERG TRADEBOOK LLC
February 1, 1985 - April 23, 1987
E. F. HUTTON & COMPANY INC
July 10, 1984 - January 16, 1985
ROONEY, PACE 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 62
Date: 7/31/2003
Corporate Securities Limited Representative ExaminationCurrent 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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