Andrew S. Codispoti
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.
Andrew Steven Codispoti, who also goes by Andrew S Codispoti, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 6 firms and has passed the Series 63, Series 55 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
January 4, 2006 - February 28, 2012
COWEN SECURITIES LLC
November 18, 2004 - September 8, 2005
NEWEDGE USA, LLC
November 12, 2003 - November 9, 2004
LEGG MASON WOOD WALKER, INCORPORATED
February 26, 2003 - August 22, 2003
GOLDMAN SACHS & CO. LLC
November 19, 2002 - August 20, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 28, 2002 - December 19, 2002
REDI GLOBAL TECHNOLOGIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 12/16/2002
Limited Representative-Equity Trader ExamCurrent Firm
COWEN SECURITIES LLC
CRD#: 23510 / SEC#: , 8-40487
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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