Nicholas J. Colas
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.
Nicholas Joseph Colas was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1987. Nicholas had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - July 26, 2017
COWEN EXECUTION SERVICES LLC
February 11, 2011 - November 26, 2012
EZE CASTLE TRANSACTION SERVICES LLC
November 9, 2010 - January 21, 2011
G-TRADE SERVICES LLC
January 12, 2009 - November 19, 2010
COWEN EXECUTION SERVICES LLC
October 24, 2006 - January 12, 2009
WESTMINSTER RESEARCH ASSOCIATES LLC
November 5, 2003 - October 3, 2006
ROCHDALE SECURITIES LLC
July 18, 1991 - April 28, 1999
CREDIT SUISSE SECURITIES (USA) LLC
April 27, 1987 - September 13, 1990
ALLIANCEBERNSTEIN INVESTMENTS, 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
Current 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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