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JM

John D. Meserve

Some features on this profile are disabled
CRD#: 4471926
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.

John Donald Meserve, who also goes by John D Meserve, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2001. John had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John D Meserve

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

May 22, 2013 - July 15, 2014

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 3, 2007 - February 8, 2011

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

November 30, 2001 - July 15, 2014

WESTMINSTER RESEARCH ASSOCIATES LLC

BD
CRD#: 14508
NEW YORK, NY
Past

November 28, 2001 - November 30, 2001

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
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
Series 63
Date: 4/8/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2002
General Securities Principal 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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