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JF

John Fiorello

Some features on this profile are disabled
CRD#: 2883294
JF

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.

John Fiorello was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1997. John had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 14, 2012 - March 24, 2015

COWEN EQUITY FINANCE LP

BD
CRD#: 10019
NEW YORK, NY
Past

May 2, 2012 - March 3, 2015

ATM

BD
CRD#: 137211
NEW YORK, NY
Past

May 14, 2010 - July 1, 2024

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

August 13, 2003 - March 25, 2010

RAMIUS SECURITIES LLC

BD
CRD#: 41076
NEW YORK, NY
Past

November 1, 2002 - July 31, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 20, 1997 - October 25, 2002

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/12/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/19/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/30/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/17/2001
General Securities Principal Examination

Current Firm

CE
COWEN EQUITY FINANCE LP
ARSENAL ADVISORS | PATOLAN PARTNERS | KELLNER, DILEO & CO., L.P. | KELLNER, DILEO & CO. | KDC SECURITIES, LP | KDC MERGER ARBITRAGE FUND, LP | COWEN EQUITY FINANCE LP

CRD#: 10019 / SEC#: , 8-25976

BD
Terminated by SEC on 03/23/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/01/1991
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN STRUCTURED HOLDINGS INC.LIMITED PARTNER
COWEN EQUITY FINANCE GROUP LLCGENERAL PARTNER
FIORELLO, JOHNCHIEF COMPLIANCE OFFICER2883294
HOLMES, JOHNCHIEF FINANCIAL OFFICER (11/2012) CHIEF ADMINISTRATIVE OFFICER (4/2013) AND CHIEF EXECUTIVE OFFICER (8/2014)1281617
KHOWONG, PHONGSYFINOP2379055

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COWEN EQUITY FINANCE LP

CRD#: 10019

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