Steven M. Cowan
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.
Steven Michael Cowan SR., who also goes by Steven M Cowan, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 10 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2016 - March 20, 2018
ALDWYCH SECURITIES LLC
August 10, 2015 - August 22, 2016
7M SECURITIES, LLC
October 3, 2014 - April 27, 2015
D/B/A CLARKSONS PLATOU SECURITIES
October 4, 2010 - May 14, 2013
CANACCORD GENUITY LLC
March 31, 2010 - September 7, 2010
GLOBAL HUNTER SECURITIES, LLC
January 2, 2008 - August 28, 2008
LADENBURG THALMANN & CO. INC.
August 17, 2004 - December 5, 2007
GCP SECURITIES, INC.
June 8, 2001 - January 28, 2004
DEUTSCHE BANK SECURITIES INC.
December 21, 1999 - May 30, 2001
WELLS FARGO CLEARING SERVICES, LLC
July 29, 1996 - July 28, 1999
JEFFERIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALDWYCH SECURITIES LLC
CRD#: 167980 / SEC#: , 8-69286
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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