Thomas A. Cowen
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.
Thomas Alvah Cowen JR, who also goes by Thomas A Cowen, Thomas Alvah (jr) Cowen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2021 - February 3, 2025
LEVEL FOUR FINANCIAL, LLC
November 5, 2012 - June 21, 2021
LPL FINANCIAL LLC
November 15, 2007 - November 21, 2012
OSAIC FS, INC.
June 21, 2006 - February 3, 2025
LEVEL FOUR ADVISORY SERVICES
April 26, 2006 - November 28, 2007
SECURITIES AMERICA, INC.
August 1, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 1, 1989 - January 27, 2006
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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