Jana S. Oliveri
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.
Jana Suzanne Oliveri, who also goes by Jana S Oliveri, was a registered financial professional .
Jana is a previously registered financial professional and started their career in finance in 1994. Jana had worked at 5 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2021 - August 29, 2023
COWEN AND COMPANY
August 2, 2011 - February 10, 2022
COWEN PRIME SERVICES LLC
March 19, 2009 - August 16, 2011
ALARIS TRADING PARTNERS, LLC
September 11, 1995 - September 11, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1994 - August 15, 1995
ADMINISTRATIVE SYSTEMS, 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
Series 57TO
Date: 5/27/2020
Securities Trader ExamSeries 62
Date: 6/10/2008
Corporate Securities Limited Representative ExaminationCurrent 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.
