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JS

Joseph J. Scavetti

Some features on this profile are disabled
CRD#: 2275422
JS

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.

Joseph Julian Scavetti JR was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 4 firms and has passed the Series 66 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2013 - February 27, 2014

COWEN PRIME SERVICES LLC

RIA
CRD#: 153397
NEW YORK, NY
Past

August 13, 2013 - February 27, 2014

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

May 17, 2010 - September 12, 2011

BNY ADVISORS

RIA
CRD#: 106108
MALVERN, PA
Past

November 19, 2007 - May 17, 2010

LOCKWOOD FINANCIAL SERVICES, INC.

RIA
CRD#: 40655
MALVERN, PA
Past

December 15, 2003 - September 12, 2011

PERSHING LLC

BD
CRD#: 7560
MALVERN, PA
Past

May 5, 1997 - December 15, 2003

LOCKWOOD FINANCIAL SERVICES, INC.

BD
CRD#: 40655
MALVERN, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/1996
General Securities Representative Examination

Current Firm

CP
COWEN PRIME SERVICES LLC
CONCEPT ASSET MANAGEMENT | COWEN PRIME SERVICES LLC | COWEN PRIME ADVISORS | COWEN OUTSOURCED TRADING | CONCEPT LIFE AGENCY LLC | CONCEPT CAPITAL MARKETS, LLC

CRD#: 153397 / SEC#: , 8-68531

BD
Terminated by SEC on 12/18/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/30/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
COWEN PB HOLDINGS LLCDIRECT PARENT, MEMBER, OWNER
CHARNEY, DANIEL SCEO2158255
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
JORDAN, FRANCISPRINCIPAL FINANCIAL OFFICER5634167
POPPELL, RALPH EDWARDCHIEF COMPLIANCE OFFICER1683087

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

COWEN PRIME SERVICES LLC

CRD#: 153397

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