Nicholas H. Desin
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 Hunter Desin was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1988. Nicholas had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2005 - October 10, 2023
COWEN AND COMPANY
January 12, 2004 - November 10, 2004
UBS CAPITAL MARKETS L.P.
April 12, 2000 - January 12, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
November 4, 1998 - May 26, 2000
CANACCORD GENUITY SECURITIES LLC
August 18, 1995 - August 18, 1998
DAKIN SECURITIES CORPORATION
July 6, 1995 - August 14, 1995
THE GLASER CAPITAL CORPORATION
June 24, 1992 - October 15, 1994
DAKIN SECURITIES CORPORATION
January 15, 1990 - May 1, 1992
GRUNTAL & CO., L.L.C.
November 8, 1988 - January 31, 1990
SACKS INVESTMENT COMPANY, INC.
June 22, 1988 - October 31, 1988
GRAYSTONE NASH, 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 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
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