Alexandra K. Cowan
Professional summary
Alexandra Katherine Cowan, who also goes by Alexandra Katherine Cowan, Alexandra Cowan, Alexandra Katherine Polaczyk, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Parsippany, New Jersey.
Alexandra is registered as a RR (Registered Representative) and started their career in finance in 1994. Alexandra has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexandra Katherine Cowan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2018 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4 Campus Drive, Parsippany, NJ 07054February 13, 2017 - September 21, 2018
SUMMIT EQUITIES, INC.
March 27, 2009 - September 14, 2016
JEFFERIES LLC
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
May 3, 1996 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
March 18, 1994 - April 14, 1996
J.P. MORGAN SECURITIES 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
(9/19/2018)
Exams
FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
