Gregg A. Smith
Professional summary
Gregg Ashley Smith was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregg is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Gregg had worked at 8 firms, which includes COWEN AND COMPANY, BANC OF AMERICA SECURITIES LLC, JWGENESIS SECURITIES INC., COWEN PRIME SERVICES TRADING LLC, LADENBURG THALMANN & CO. INC., RICKEL & ASSOCIATES INC., BLUESTONE CAPITAL CORP., J.P. MORGAN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2005 - October 22, 2007
COWEN AND COMPANY
October 23, 2000 - July 1, 2005
BANC OF AMERICA SECURITIES LLC
May 13, 1999 - October 26, 2000
JWGENESIS SECURITIES, INC.
April 30, 1998 - May 21, 1999
COWEN PRIME SERVICES TRADING LLC
September 15, 1997 - May 6, 1998
LADENBURG THALMANN & CO. INC.
April 4, 1995 - September 15, 1997
RICKEL & ASSOCIATES, INC.
October 31, 1994 - April 3, 1995
BLUESTONE CAPITAL CORP.
July 14, 1992 - August 16, 1994
J.P. MORGAN SECURITIES LLC
August 16, 1989 - July 14, 1992
BLUESTONE CAPITAL CORP.
State Registrations and Notice Filings
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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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