Felix S. Partow

Some features on this profile are disabled

CRD#: 1919802

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.

Felix Sam Partow was a registered financial professional .

Felix is a previously registered financial professional and started their career in finance in 1989. Felix had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 21, 2018 - October 13, 2023

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

NEW YORK, NY

Past

June 7, 2013 - May 12, 2015

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

September 5, 2012 - March 14, 2013

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

September 16, 2010 - September 20, 2012

KGS-ALPHA CAPITAL MARKETS, L.P.

CRD#: 151705

NEW YORK, NY

Past

August 5, 2009 - September 16, 2010

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

NEW YORK, NY

Past

August 25, 2008 - August 12, 2009

AMHERST SECURITIES GROUP, L.P.

CRD#: 31141

NEW YORK, NY

Past

April 23, 2008 - September 3, 2008

STONEX SECURITIES INC.

CRD#: 18456

OYSTER BAY, NY

Past

May 31, 2005 - February 19, 2008

WAMU CAPITAL CORP.

CRD#: 119069

NEW YORK, NY

Past

June 14, 2002 - May 23, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 1, 2000 - June 4, 2002

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

May 12, 1997 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 15, 1995 - April 23, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 15, 1994 - April 26, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 28, 1991 - December 23, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

May 23, 1989 - October 26, 1990

JPMSI

CRD#: 15733

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/11/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Current Firm

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758 / SEC#: , 8-68186

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3 Columbus Circle 24th Floor, New York, NY 10019

Mailing Address

3 Columbus Circle 24th Floor, New York, NY 10019

Phone number

(646) 792-5600

Established

Delaware since 12/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.	SOLE MEMBER
BRAFMAN, LESTER RAYMOND	CHIEF EXECUTIVE OFFICER	1895749
BURKLIN, STEPHAN GEORGE	EXECUTIVE VICE PRESIDENT	1808970
LISTMAN, DOUGLAS	CFO	5894307
VACCA, KATHARINE ELIZABETH	CHIEF COMPLIANCE OFFICER	1821586

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Felix S. Partow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PIPER SANDLER & CO.

GLEACHER & COMPANY SECURITIES, INC.

KGS-ALPHA CAPITAL MARKETS, L.P.

COHEN & COMPANY SECURITIES, LLC

AMHERST SECURITIES GROUP, L.P.

STONEX SECURITIES INC.

WAMU CAPITAL CORP.

DEUTSCHE BANK SECURITIES INC.

NOMURA SECURITIES INTERNATIONAL, INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

JPMSI

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/2018

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1989

Current Firm

COHEN & COMPANY SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COHEN & COMPANY SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors