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JM

Jack H. Mackintosh

Some features on this profile are disabled
CRD#: 4309150
JM

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.

Jack Hunter Mackintosh, who also goes by Jack Hunter Mackintosh Jr., Jack Mackintosh, was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 2000. Jack had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack Hunter Mackintosh Jr. | Jack Mackintosh

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

February 6, 2008 - April 6, 2015

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

August 4, 2006 - February 6, 2008

B-TRADE SERVICES LLC

BD
CRD#: 41262
NEW YORK, NY
Past

June 13, 2005 - July 12, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 6, 2004 - June 28, 2005

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 10, 2000 - July 8, 2004

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
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

State Security Law Exam
RR
IAR
Series 66
Date: 11/21/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/6/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2000
General Securities Representative Examination

Current Firm

CE
COWEN EXECUTION SERVICES LLC
BNY BROKERAGE INC. | ESI SECURITIES COMPANY | COWEN EXECUTION SERVICES LLC | CONVERGEX EXECUTION SOLUTIONS LLC | BNY ESI & CO., INC. | BNY CONVERGEX EXECUTION SOLUTIONS LLC | BNY BROKERAGE LLC

CRD#: 35693 / SEC#: 801-67167, 8-46838

BD
Terminated by SEC on 07/03/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CONVERGEX EXECUTION SOLUTIONS LLC (4/1/2013)

Direct owners and executive officers

NamePositionCRD#
COWEN EXECUTION HOLDCOMEMBER
CHARNEY, DANIEL S.CHIEF EXECUTIVE OFFICER2158255
EADS, MARK BREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP2942874
HOLMES, JOHNPRINCIPAL OPERATIONS OFFICER1281617
KAPLAN, GARY MITCHELLMUNICIPAL PRINCIPAL
LUPKIN, IRA ADAMPRINCIPAL FINANCIAL OFFICER4463446
MESSINGER, LINDA LOUISECHIEF COMPLIANCE OFFICER2561401

Disclosures

Regulatory Event29

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

COWEN EXECUTION SERVICES LLC

CRD#: 35693

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