Thomas Lekargeren
Professional summary
Thomas Lekargeren was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Thomas had worked at 4 firms, which includes COWEN EXECUTION SERVICES LLC, G-TRADE SERVICES LLC, PERSHING LLC, TQA LEVERAGE FUND L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2010 - October 31, 2011
COWEN EXECUTION SERVICES LLC
January 10, 2007 - May 20, 2008
COWEN EXECUTION SERVICES LLC
January 5, 2007 - November 19, 2010
G-TRADE SERVICES LLC
October 3, 2005 - December 31, 2006
PERSHING LLC
January 25, 1999 - November 3, 1999
TQA LEVERAGE FUND L.P.
State Registrations and Notice Filings
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Exams
Current Firm
COWEN EXECUTION SERVICES LLC
CRD#: 35693 / SEC#: 801-67167, 8-46838
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO | MEMBER | |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| EADS, MARK B | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP | 2942874 |
| HOLMES, JOHN | PRINCIPAL OPERATIONS OFFICER | 1281617 |
| KAPLAN, GARY MITCHELL | MUNICIPAL PRINCIPAL | |
| LUPKIN, IRA ADAM | PRINCIPAL FINANCIAL OFFICER | 4463446 |
| MESSINGER, LINDA LOUISE | CHIEF COMPLIANCE OFFICER | 2561401 |
Disclosures
| Regulatory Event | 29 |
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