Daniel R. Cooperman
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.
Daniel Richard Cooperman, who also goes by Dan Cooperman, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 4 firms and has passed the Series 63, Series 55 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
April 15, 2008 - January 2, 2013
COWEN EXECUTION SERVICES LLC
May 3, 2005 - April 8, 2008
EZE CASTLE TRANSACTION SERVICES LLC
September 9, 2002 - February 10, 2003
GOLDMAN SACHS & CO. LLC
May 25, 1999 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, 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
Series 55
Date: 10/4/1999
Limited Representative-Equity Trader ExamCurrent 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 |
Red Flags
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