Christopher J. Cowans
Professional summary
Christopher J Cowans, who also goes by Christopher John Cowans, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Boston, Massachusetts.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1987. Christopher has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher J Cowans's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2023 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 50 Congress Street Suite 700, Boston, MA 02109November 11, 2014 - October 31, 2023
WOOD (ARTHUR W.) COMPANY, INC.
March 23, 2012 - October 21, 2014
MORGAN STANLEY
April 27, 2011 - December 31, 2011
MORGAN STANLEY
June 1, 2009 - October 21, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 22, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
June 1, 1994 - July 11, 2000
UBS FINANCIAL SERVICES INC.
November 28, 1990 - May 31, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 9, 1987 - November 30, 1990
TUCKER ANTHONY INCORPORATED
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2023)
(10/27/2023)
(10/30/2023)
(10/23/2023)
(11/1/2023)
(10/27/2023)
(10/31/2023)
(10/27/2023)
Exams
Series 8
Date: 11/2/1992
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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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Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Boston, MA 02109TRUST BUT VERIFY
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