Kimberly D. Smallwood
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.
Kimberly Diane Smallwood, who also goes by Kimberly Diane Colvin, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1987. Kimberly had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2007 - May 14, 2014
COWEN EXECUTION SERVICES LLC
July 11, 2005 - January 2, 2007
LYNCH, JONES & RYAN LLC
November 1, 1998 - August 3, 2005
COWEN EXECUTION SERVICES LLC
April 24, 1993 - November 1, 1998
ALPHA MANAGEMENT, INC.
February 1, 1991 - November 20, 1991
CAPITAL BROKERAGE CORPORATION
March 19, 1990 - February 4, 1991
PACIFIC FIRST SECURITIES, LTD.
November 25, 1987 - March 12, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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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