Andrea T. Jao
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.
Andrea Tantoco Jao, who also goes by Andrea T Jao, Maria Andrea Tantoco Jao, Mariaandrea Tantoco Jao, Marian Jao, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1999. Andrea had worked at 4 firms and has passed the Series 65, Series 63, Series 86, Series 87 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
August 23, 2010 - March 21, 2012
COWEN AND COMPANY
September 22, 2008 - February 12, 2009
BARCLAYS CAPITAL INC.
September 12, 2000 - September 22, 2008
LEHMAN BROTHERS INC.
August 20, 1999 - August 10, 2000
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COWEN AND COMPANY
CRD#: 7616 / SEC#: , 8-22522
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN HOLDINGS, INC. | DIRECT PARENT | |
| CHARNEY, DANIEL S. | CO-PRESIDENT | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| JENKINS, CHRISTINE J | PRINCIPAL FINANCIAL OFFICER AND FINOP | 4911933 |
| NIZICH, MATTHEW JOHN | REGISTERED OPTIONS PRINCIPAL | 2119564 |
| SOLOMON, JEFFREY MARC | CHIEF EXECUTIVE OFFICER | 2133254 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 8 |
Red Flags
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