Khaled Bassily
Professional summary
Khaled Bassily was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Khaled is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Khaled had worked at 3 firms, which includes COWEN EXECUTION SERVICES LLC, COMMERZ MARKETS LLC, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2004 - October 8, 2013
COWEN EXECUTION SERVICES LLC
October 23, 2000 - December 17, 2003
COMMERZ MARKETS LLC
December 11, 1998 - October 10, 2000
LEHMAN BROTHERS INC.
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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