Steven B. Hart
Professional summary
Steven Brett Hart was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Steven had worked at 2 firms, which includes COWEN AND COMPANY, COMMONWEALTH ASSOCIATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2001 - February 15, 2002
COWEN AND COMPANY
April 7, 2000 - August 16, 2001
COMMONWEALTH ASSOCIATES
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
Current 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
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