Andrew N. Wiener
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.
Andrew Nolan Wiener, who also goes by Andrew Nolan Weiner, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2021 - August 14, 2023
COWEN AND COMPANY
July 18, 2021 - August 14, 2023
COWEN PRIME ADVISORS LLC
February 12, 2021 - March 14, 2011
COWEN PRIME SERVICES LLC
March 19, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
March 2, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 28, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 14, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 13, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 9, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 8, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 6, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 29, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 5, 2012 - February 10, 2022
COWEN PRIME SERVICES LLC
November 14, 1994 - January 5, 2012
BURNHAM SECURITIES INC.
State Registrations and Notice Filings
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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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