David D. Kurtz
Professional summary
David Doty Kurtz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, David had worked at 7 firms, which includes COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., RONEY & CO. L.L.C., ROOSE WADE AND COMPANY, FULTON REID & STAPLES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
May 24, 1991 - July 1, 1998
FINANCIAL SQUARE PARTNERS
August 25, 1989 - May 1, 1991
PRUDENTIAL EQUITY GROUP, LLC
December 3, 1979 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
September 12, 1978 - May 23, 1980
RONEY & CO. L.L.C.
April 1, 1977 - April 17, 1979
ROOSE, WADE AND COMPANY
February 6, 1969 - September 28, 1971
FULTON, REID & STAPLES, 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 1
Date: 7/7/1973
Registered 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
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