Samir G. Chauhan
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.
Samir Gunvant Chauhan was a registered financial professional .
Samir is a previously registered financial professional and started their career in finance in 1996. Samir had worked at 9 firms and has passed the Series 63, SIE, Series 52, Series 7, Series 87, Series 16, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2014 - January 10, 2017
COWEN EXECUTION SERVICES LLC
October 23, 2012 - September 2, 2014
CONVERGEX PRIME SERVICES LLC
October 27, 2004 - June 1, 2006
PRITCHARD CAPITAL PARTNERS, LLC
May 16, 2003 - October 18, 2004
STERNE, AGEE & LEACH, INC.
January 10, 2001 - May 9, 2003
RBC CAPITAL MARKETS, LLC
November 5, 1999 - January 18, 2001
RBC CAPITAL MARKETS CORPORATION
July 29, 1997 - March 19, 1999
JEFFERIES LLC
September 23, 1996 - April 7, 1997
ACUMENT SECURITIES, INC.
May 28, 1996 - September 3, 1996
THE CAMELOT GROUP, 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
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 |
Red Flags
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