Barry J. Tarasoff
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.
Barry Joel Tarasoff was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1971. Barry had worked at 7 firms and has passed the Series 16, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2002 - July 19, 2012
COWEN AND COMPANY
October 5, 2000 - April 17, 2002
ROBERTSON STEPHENS, INC.
June 22, 1983 - June 29, 2000
SCHRODER & CO. INC.
December 17, 1979 - July 22, 1983
GOLDMAN SACHS & CO. LLC
March 7, 1978 - December 15, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 11, 1977 - May 8, 1978
NORMANDY SECURITIES INCORPORATED
May 5, 1971 - February 4, 1977
H.C.WAINWRIGHT & CO., LLC
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 1
Date: 4/29/1971
Registered Representative ExaminationSeries 00
Date: 2/28/1974
General Securities Principal ExaminationCurrent 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
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.
