Timothy J. Imhof
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.
Timothy John Imhof, who also goes by Timothy J Imhof, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2009 - August 21, 2009
COWEN EQUITY FINANCE LP
February 21, 1992 - July 31, 2003
COWEN EQUITY FINANCE LP
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 EQUITY FINANCE LP
CRD#: 10019 / SEC#: , 8-25976
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN STRUCTURED HOLDINGS INC. | LIMITED PARTNER | |
| COWEN EQUITY FINANCE GROUP LLC | GENERAL PARTNER | |
| FIORELLO, JOHN | CHIEF COMPLIANCE OFFICER | 2883294 |
| HOLMES, JOHN | CHIEF FINANCIAL OFFICER (11/2012) CHIEF ADMINISTRATIVE OFFICER (4/2013) AND CHIEF EXECUTIVE OFFICER (8/2014) | 1281617 |
| KHOWONG, PHONGSY | FINOP | 2379055 |
Disclosures
| Regulatory Event | 2 |
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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