Phongsy Khowong
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.
Phongsy Khowong was a registered financial professional .
Phongsy is a previously registered financial professional and started their career in finance in 1993. Phongsy had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2013 - March 3, 2015
ATM
January 3, 2013 - March 24, 2015
COWEN EQUITY FINANCE LP
August 22, 2011 - May 19, 2022
TD ARRANGED SERVICES LLC
June 24, 2004 - May 19, 2022
COWEN AND COMPANY
August 28, 2002 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
June 28, 2000 - October 6, 2000
COWEN AND COMPANY
October 17, 1994 - July 24, 1995
MONY SECURITIES CORPORATION
July 30, 1993 - September 7, 1994
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ATM
CRD#: 137211 / SEC#: , 8-67069
Contact information
Documents
Red Flags
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