Conrad M. Vlak
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.
Conrad Maria Vlak, who also goes by Conrad Vlak, was a registered financial professional .
Conrad is a previously registered financial professional and started their career in finance in 1996. Conrad had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
June 2, 2014 - October 5, 2016
COWEN AND COMPANY
December 12, 2012 - June 2, 2014
OPPENHEIMER & CO. INC.
January 8, 2010 - December 3, 2012
MLV & CO. LLC
June 2, 2009 - January 15, 2010
WM SMITH & CO.
February 18, 1999 - July 1, 2003
ROTHSCHILD & CO US INC.
October 2, 1996 - January 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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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