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DG

Douglas R. Gillespie

COHEN & COMPANY SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4258847
DG

Professional summary

Douglas Russell Gillespie JR., who also goes by Douglas Russell Gillespie Jr, Douglas Russell Gillespie, Douglas Gillespie, is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 2000. Douglas has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas Russell Gillespie Jr | Douglas Russell Gillespie | Douglas Gillespie

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) - BD

Click below to view Douglas Russell Gillespie JR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 11, 2014 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019
BD
CRD#: 149758
New York, NY
Past

June 16, 2011 - September 4, 2014

TMC BONDS L.L.C.

BD
CRD#: 104507
NEW YORK, NY
Past

February 11, 2010 - March 15, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

July 10, 2008 - September 1, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
NEW YORK, NY
Past

July 10, 2008 - October 19, 2009

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

February 19, 2008 - July 9, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 7, 2007 - February 5, 2008

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

April 11, 2007 - June 14, 2007

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
NEW YORK, NY
Past

April 8, 2005 - July 5, 2006

JEFFERIES BACHE SECURITIES, LLC

BD
CRD#: 127733
NEW YORK, NY
Past

September 9, 2002 - April 20, 2005

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 15, 2001 - October 11, 2001

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

October 11, 2000 - July 3, 2001

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/11/2014)
RR
New York
(9/11/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/26/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 7/30/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/13/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/10/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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.

Company Information

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758New York, NY 10019

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