Michael V. Sepe
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.
Michael Vincent Sepe was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2021 - September 7, 2023
COWEN AND COMPANY
August 7, 2012 - February 10, 2022
COWEN PRIME SERVICES LLC
May 27, 2011 - August 3, 2012
RODMAN & RENSHAW, LLC
April 6, 2011 - May 27, 2011
HUDSON SECURITIES,INC.
March 31, 2011 - April 20, 2011
FOREFRONT CAPITAL MARKETS LLC
January 28, 2011 - April 1, 2011
SARATOGA CAPITAL MARKETS
August 3, 2009 - January 26, 2011
GENESIS SECURITIES, LLC
August 11, 2008 - March 31, 2009
PALI CAPITAL, INC.
April 25, 2002 - August 1, 2008
SWISS AMERICAN SECURITIES INC.
April 21, 1994 - April 23, 2002
ABN AMRO INCORPORATED
January 9, 1990 - January 18, 1990
HENRY KRIEGER/DBI L.P.
January 18, 1989 - January 9, 1990
DISCOUNT BROKERS INTERNATIONAL, INC.
January 6, 1989 - April 17, 1989
HENRY KRIEGER/DBI, L.P.
November 9, 1987 - January 6, 1989
DISCOUNT BROKERS INTERNATIONAL, INC.
January 8, 1986 - April 13, 1994
FLEET BROKERAGE SECURITIES, INC.
September 24, 1985 - January 2, 1986
THE STUART-JAMES COMPANY, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/12/2009
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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