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DD

Dustin M. Downs

COHEN & COMPANY SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4760743
DD

Professional summary

Dustin Michael Downs is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in New York, New York.

Dustin is registered as a RR (Registered Representative) and started their career in finance in 2006. Dustin has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dustin Michael Downs's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 2, 2024 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019
BD
CRD#: 149758
New York, NY
Past

April 1, 2021 - December 16, 2024

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
Stamford, CT
Past

October 30, 2020 - April 6, 2021

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
NEW YORK, NY
Past

November 22, 2016 - October 29, 2020

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

July 18, 2016 - November 7, 2016

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

May 29, 2015 - March 14, 2016

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
NEW YORK, NY
Past

March 5, 2014 - May 15, 2015

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

July 16, 2013 - March 19, 2014

BANC OF MANHATTAN CAPITAL

BD
CRD#: 149880
NEW YORK, NY
Past

April 18, 2006 - August 9, 2013

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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
(1/17/2025)
RR
Alaska
(1/17/2025)
RR
Arizona
(1/17/2025)
RR
Arkansas
(1/17/2025)
RR
California
(1/17/2025)
RR
Colorado
(1/17/2025)
RR
Connecticut
(1/17/2025)
RR
Delaware
(1/17/2025)
RR
District of Columbia
(1/17/2025)
RR
Florida
(1/17/2025)
RR
Georgia
(1/17/2025)
RR
Hawaii
(1/17/2025)
RR
Idaho
(1/17/2025)
RR
Illinois
(1/17/2025)
RR
Indiana
(1/17/2025)
RR
Iowa
(1/17/2025)
RR
Kansas
(1/17/2025)
RR
Kentucky
(1/17/2025)
RR
Louisiana
(1/17/2025)
RR
Maine
(1/17/2025)
RR
Maryland
(1/17/2025)
RR
Massachusetts
(1/17/2025)
RR
Michigan
(1/17/2025)
RR
Minnesota
(1/17/2025)
RR
Mississippi
(1/17/2025)
RR
Missouri
(1/17/2025)
RR
Montana
(1/17/2025)
RR
Nebraska
(1/17/2025)
RR
Nevada
(1/17/2025)
RR
New Hampshire
(1/17/2025)
RR
New Jersey
(1/17/2025)
RR
New Mexico
(1/17/2025)
RR
New York
(12/2/2024)
RR
North Carolina
(1/17/2025)
RR
North Dakota
(1/17/2025)
RR
Ohio
(1/17/2025)
RR
Oklahoma
(1/17/2025)
RR
Oregon
(1/17/2025)
RR
Pennsylvania
(1/17/2025)
RR
Puerto Rico
(1/17/2025)
RR
Rhode Island
(1/17/2025)
RR
South Carolina
(1/17/2025)
RR
South Dakota
(1/17/2025)
RR
Tennessee
(1/17/2025)
RR
Texas
(1/17/2025)
RR
Utah
(1/17/2025)
RR
Vermont
(1/17/2025)
RR
Virgin Islands
(1/17/2025)
RR
Virginia
(1/17/2025)
RR
Washington
(1/17/2025)
RR
West Virginia
(1/17/2025)
RR
Wisconsin
(1/17/2025)
RR
Wyoming
(1/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/25/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2006
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758New York, NY 10019

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