Stuart L. Alper
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.
Stuart Lawrence Alper was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1987. Stuart had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2021 - March 4, 2022
COWEN AND COMPANY
November 5, 2013 - March 10, 2020
OPPENHEIMER & CO. INC.
April 2, 2012 - May 2, 2012
MORGAN KEEGAN & COMPANY, LLC
September 2, 2010 - July 3, 2013
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2008 - August 16, 2010
COHEN & COMPANY SECURITIES, LLC
March 13, 2006 - October 12, 2007
RBC CAPITAL MARKETS CORPORATION
December 9, 1999 - January 24, 2006
J.P. MORGAN SECURITIES LLC
February 6, 1997 - December 13, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 21, 1987 - January 1, 1997
FINANCIAL SQUARE PARTNERS
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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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