Harley R. Lefkowitz
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.
Harley Robert Lefkowitz, who also goes by Robert Lefkowitz, was a registered financial professional .
Harley is a previously registered financial professional and started their career in finance in 1994. Harley had worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 55, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2010 - May 31, 2013
COWEN AND COMPANY
April 15, 2008 - December 31, 2009
RAMIUS SECURITIES LLC
July 7, 2005 - November 16, 2007
HYPO CAPITAL MARKETS, INC.
August 8, 1997 - May 10, 1999
RAPHAEL, L.P.
August 8, 1997 - February 5, 2001
AG BD LLC
August 8, 1997 - February 6, 2001
MICHAELANGELO, L.P.
September 18, 1995 - December 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1994 - August 1, 1995
LAZARD FRERES & CO. LLC
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
Series 55
Date: 9/18/1998
Limited Representative-Equity Trader ExamCurrent 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.
