Paul K. Lieberman
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.
Paul Keyvan Lieberman was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2010 - November 13, 2013
COWEN AND COMPANY
September 24, 2008 - September 16, 2009
VDM INSTITUTIONAL BROKERAGE, LLC
July 28, 2008 - September 24, 2008
VDM CAPITAL MARKETS, LLC
July 25, 2006 - June 19, 2008
BNP PARIBAS SECURITIES CORP.
June 9, 2003 - July 27, 2006
J.P. MORGAN SECURITIES LLC
June 13, 1997 - August 14, 2002
LEHMAN BROTHERS INC.
January 19, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
January 19, 1993 - June 5, 1995
LEHMAN GOVERNMENT SECURITIES INC.
January 19, 1993 - June 5, 1995
LEHMAN BROTHERS 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
