Robert Y. Garrett
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.
Robert Young Garrett IV, who also goes by Robert Garrett, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1985. Robert had worked at 10 firms and has passed the Series 63, Series 65, Series 7, Series 3, Series 15 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2011 - September 8, 2014
COWEN EXECUTION SERVICES LLC
August 26, 2010 - June 10, 2011
DASH FINANCIAL TECHNOLOGIES LLC
March 28, 2007 - December 19, 2008
ORDER EXECUTION SERVICES, LLC
March 28, 2007 - June 9, 2010
TZERO SECURITIES, LLC
March 28, 2007 - June 9, 2010
OES BROKERAGE SERVICES, LLC
March 28, 2007 - June 9, 2010
SPEEDROUTE LLC
September 29, 2004 - August 17, 2006
RBC CAPITAL MARKETS, LLC
May 20, 2004 - August 17, 2006
RBC CAPITAL MARKETS, LLC
March 10, 1997 - March 8, 2002
UST SECURITIES CORP.
May 4, 1987 - April 20, 1989
CITIGROUP GLOBAL MARKETS INC.
October 22, 1985 - February 3, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
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 15
Date: 8/27/1985
Foreign Currency Options ExaminationSeries 5
Date: 8/13/1985
Interest Rate Options 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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