JS
Jerry J. Serowik
COHEN & COMPANY SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4686913
JS
Professional summary
Jerry John Serowik is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in New York, New York.
Jerry is registered as a RR (Registered Representative) and started their career in finance in 2003. Jerry has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Jerry John Serowik's 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®
NoneExperience
Current
March 8, 2021 - Present
COHEN & COMPANY SECURITIES, LLC
Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019BD
CRD#: 149758
New York, NY
Past
November 2, 2009 - March 8, 2021
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
June 13, 2008 - October 27, 2009
COWEN SECURITIES LLC
BD
CRD#: 23510
NEW YORK, NY
Past
October 8, 2003 - June 11, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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
Alabama(1/31/2022)
RR
Alaska(1/31/2022)
RR
Arizona(1/31/2022)
RR
Arkansas(1/31/2022)
RR
California(3/8/2021)
RR
Colorado(1/31/2022)
RR
Connecticut(1/31/2022)
RR
Delaware(1/31/2022)
RR
District of Columbia(1/31/2022)
RR
Florida(1/31/2022)
RR
Georgia(1/31/2022)
RR
Hawaii(1/31/2022)
RR
Idaho(1/31/2022)
RR
Illinois(1/31/2022)
RR
Indiana(1/31/2022)
RR
Iowa(1/31/2022)
RR
Kansas(1/31/2022)
RR
Kentucky(1/31/2022)
RR
Louisiana(1/31/2022)
RR
Maine(1/31/2022)
RR
Maryland(1/31/2022)
RR
Massachusetts(1/31/2022)
RR
Michigan(1/31/2022)
RR
Minnesota(1/31/2022)
RR
Mississippi(1/31/2022)
RR
Missouri(1/31/2022)
RR
Montana(1/31/2022)
RR
Nebraska(1/31/2022)
RR
Nevada(1/31/2022)
RR
New Hampshire(1/31/2022)
RR
New Jersey(1/31/2022)
RR
New Mexico(1/31/2022)
RR
New York(3/8/2021)
RR
North Carolina(1/31/2022)
RR
North Dakota(1/31/2022)
RR
Ohio(1/31/2022)
RR
Oklahoma(1/31/2022)
RR
Oregon(1/31/2022)
RR
Pennsylvania(1/31/2022)
RR
Puerto Rico(1/31/2022)
RR
Rhode Island(1/31/2022)
RR
South Carolina(1/31/2022)
RR
South Dakota(1/31/2022)
RR
Tennessee(1/31/2022)
RR
Texas(1/31/2022)
RR
Utah(1/31/2022)
RR
Vermont(1/31/2022)
RR
Virgin Islands(1/31/2022)
RR
Virginia(1/31/2022)
RR
Washington(1/31/2022)
RR
West Virginia(1/31/2022)
RR
Wisconsin(1/31/2022)
RR
Wyoming(1/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Disclosures
| Regulatory Event | 6 |
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.
