James R. Simmons
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 Robert Simmons, who also goes by James R Simmons, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2012. James had worked at 7 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2015 - June 15, 2016
COWEN PRIME SERVICES TRADING LLC
September 4, 2015 - March 25, 2019
COWEN PRIME SERVICES LLC
December 9, 2013 - March 24, 2015
COWEN EQUITY FINANCE LP
August 9, 2013 - August 21, 2013
COWEN SECURITIES LLC
May 14, 2013 - March 3, 2015
ATM
September 26, 2012 - March 25, 2019
TD ARRANGED SERVICES LLC
September 18, 2012 - March 25, 2019
COWEN AND COMPANY
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
Current Firm
COWEN PRIME SERVICES TRADING LLC
CRD#: 23857 / SEC#: , 8-40756
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN PB HOLDINGS LLC | DIRECT PARENT AND MEMBER | |
| BYRNE, WILLIAM FRANCIS | MANAGING DIRECTOR TRADING | 2152584 |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| COHEN, STEVEN ANDREW | CHIEF COMPLIANCE OFFICER | 2218249 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER | 1281617 |
| MARTIN, GEOFF JOSEPH | ROP | 4055156 |
| SIMMONS, JAMES ROBERT | CHIEF FINANCIAL OFFICER | 1327561 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
