Shaun L. Sarnicola

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CRD#: 3218979

Professional summary

Shaun Louis Sarnicola was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Shaun is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Shaun had worked at 1 firm, which includes COWEN EQUITY FINANCE LP.

Question & Answer

Are you a "fiduciary"?

Aliases

Shaun L Sarnicola

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

June 4, 1999 - July 31, 2003

COWEN EQUITY FINANCE LP

CRD#: 10019

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

Current Firm

COWEN EQUITY FINANCE LP

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

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

Name	Position	CRD#
COWEN STRUCTURED HOLDINGS INC.	LIMITED PARTNER
COWEN EQUITY FINANCE GROUP LLC	GENERAL PARTNER
FIORELLO, JOHN	CHIEF COMPLIANCE OFFICER	2883294
HOLMES, JOHN	CHIEF FINANCIAL OFFICER (11/2012) CHIEF ADMINISTRATIVE OFFICER (4/2013) AND CHIEF EXECUTIVE OFFICER (8/2014)	1281617
KHOWONG, PHONGSY	FINOP	2379055

Disclosures

Regulatory Event

Red Flags

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