Eric D. Weinstein
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.
Eric D Weinstein, who also goes by Eric David Weinstein, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2014 - October 29, 2015
COWEN PRIME SERVICES TRADING LLC
October 12, 2006 - January 25, 2007
GORDIAN GROUP, LLC
May 5, 2000 - February 13, 2001
SIDOTI & COMPANY, LLC
August 23, 1999 - April 19, 2000
PERSHING LLC
March 29, 1999 - June 29, 1999
KNIGHT CAPITAL AMERICAS, L.P.
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 PRIME SERVICES TRADING LLC
CRD#: 23857 / SEC#: , 8-40756
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN PB HOLDINGS LLC | DIRECT PARENT AND MEMBER | |
| BYRNE, WILLIAM FRANCIS | MANAGING DIRECTOR TRADING | 2152584 |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| COHEN, STEVEN ANDREW | CHIEF COMPLIANCE OFFICER | 2218249 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER | 1281617 |
| MARTIN, GEOFF JOSEPH | ROP | 4055156 |
| SIMMONS, JAMES ROBERT | CHIEF FINANCIAL OFFICER | 1327561 |
Disclosures
| Regulatory Event | 8 |
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.
