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SM

Scott C. Mcgowan

COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 2232462
SM

Professional summary

Scott Christopher Mcgowan is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 11 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Scott Christopher Mcgowan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 3, 2024 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431
BD
CRD#: 149758
BOCA RATON, FL
Past

January 6, 2020 - June 5, 2024

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

January 10, 2018 - January 24, 2020

PENSERRA SECURITIES, LLC

BD
CRD#: 145994
ORINDA, CA
Past

January 2, 2013 - January 24, 2018

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

November 6, 2012 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

August 9, 2010 - November 1, 2012

MOUNTAINVIEW SECURITIES, LLC

BD
CRD#: 7882
EDMOND, OK
Past

February 2, 2010 - August 11, 2010

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
EDMOND, OK
Past

August 6, 2001 - February 24, 2010

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
EDMOND, OK
Past

July 30, 1999 - August 16, 2001

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

July 1, 1996 - July 19, 1999

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

July 23, 1992 - July 1, 1996

GSC SECURITIES, INC.

BD
CRD#: 17013
Past

April 10, 1992 - July 1, 1996

GOVERNMENT SECURITIES CORPORATION

BD
CRD#: 19698

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/3/2024)
RR
Connecticut
(6/3/2024)
RR
Florida
(6/3/2024)
RR
Illinois
(6/3/2024)
RR
Iowa
(6/3/2024)
RR
Louisiana
(6/3/2024)
RR
North Carolina
(6/3/2024)
RR
Ohio
(6/4/2024)
RR
Oklahoma
(6/3/2024)
RR
Oregon
(6/3/2024)
RR
South Carolina
(6/3/2024)
RR
Texas
(6/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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.

Company Information

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758Boca Raton, FL 33431

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