John M. Guaspari
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.
John Michael Guaspari was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - March 21, 2016
COWEN PRIME SERVICES LLC
January 21, 2016 - March 21, 2016
COWEN PRIME SERVICES TRADING LLC
March 30, 1994 - October 29, 2015
COWEN PRIME SERVICES TRADING LLC
April 22, 1991 - February 4, 1994
D.S. KENNEDY & CO.
November 24, 1989 - March 13, 1991
COWEN PRIME SERVICES TRADING LLC
March 19, 1986 - September 29, 1988
D.S. KENNEDY & CO.
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 LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
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.
