James C. Stone
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.
James Charles Stone was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2012 - July 10, 2015
COWEN AND COMPANY
December 16, 2011 - July 31, 2012
GLEACHER & COMPANY SECURITIES, INC.
July 20, 2010 - November 21, 2011
MACQUARIE CAPITAL (USA) INC.
April 21, 2009 - April 27, 2010
IMPERIAL CAPITAL, LLC
December 18, 2000 - March 5, 2009
CREDIT SUISSE SECURITIES (USA) LLC
August 25, 1999 - December 18, 2000
PERSHING LLC
June 14, 1999 - October 4, 1999
DEUTSCHE BANK SECURITIES INC.
September 12, 1996 - June 14, 1999
DB ALEX. BROWN LLC
May 1, 1991 - December 30, 1994
PERSHING LLC
June 21, 1990 - December 14, 1990
HIBBARD BROWN & CO., 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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